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Showing 901 - 910 of 939 results for "Representatives - 200"

ASIC bans Queensland advisor

The Australian Securities and Investments Commission (ASIC) has banned a Queensland financial advisor from providing any financial services. "ASIC's decision serves as a warning that dishonest conduct will not be tolerated and a lifetime ban will be ...

FPA releases draft conflict of interest guidelines

The Financial Planning Association (FPA) has just announced the third and last phase of its clarity and transparency program and released its draft conflict of interest principals to the industry for consultation. According to FPA director Sarah Brennan ...

MLC set to grow adviser network

MLC has developed a range of transitional packages as an incentive to align advisers with its dealer group networks. The initiative is the first phase of MLC's new growth strategy. The dealer groups include Garvan Financial Planning, Apogee Financial ...

Sydney financial advisers banned for good

ASIC has banned Tony Zareei and Tunde Doja permanently form providing any financial services, and from being representative of a securities dealer or investment adviser, after finding the pair had failed to perform their duties honestly efficiently ...

New guidelines on conflicts for AFS applicants

The Australian Securities and Investments Commission (ASIC) has incorporated the most recent legislative changes relating to conflicts of interest into its licensing regime with updates to its licensing guides. The conflicts management obligations are ...

New principal member for FPA

The Financial Planning Association (FPA) has increased its total number of principal members to 586 after newly formed financial adviser KPMG Private Wealth joined the list. FPA principal members are comprised of companies and individuals holding an ...

News Corp offers compromise over US domicile issues: report

AAP  |  WEDNESDAY, 6 OCT 2004
News Corp Ltd executive chairman Rupert Murdoch has offered a compromise to concerned institutional investors on future control issues and the possibility of the media empire delisting from the Australian Stock Exchange, it was reported today. Some ...

AFS licensees pass ASIC's spot check

The Australian Securities and Investments Commission (ASIC) on Monday released its findings on a program of 353 randomly conducted verification visits on Australian financial services (AFS) licensees. Conducted between December 2002 and July 2004, the ...

Absolute Capital appoints new non-executive director

Absolute Capital Group this week announced David Bleakley has joined its board as a non-executive director. Bleakley is formerly the founding chairman and managing director of financial planning company, Bleakleys Limited. His career in the financial ...

Report calls for tougher limits on RBA board members

AAP  |  MONDAY, 16 AUG 2004
Central bank board members should be banned from any role with finance companies, including mortgage brokers and investment trusts, the influential parliamentary economics committee has recommended. The committee also called for mortgage brokers and ...