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Showing 81 - 90 of 576 results for %22Financial Adviser Register%22

Adviser standards consultation commences

JAMIE WILLIAMSON  |  THURSDAY, 25 AUG 2022
... pathway. This would, at minimum, require them to have no disciplinary actions recorded against them on the Financial Adviser Register. Other sources for determining whether an adviser has a clean record could include whether their conduct has resulted ...

ASIC highlights strategic priorities

CASSANDRA BALDINI  |  TUESDAY, 23 AUG 2022
... compliance with new requirements. On the advice front, the regulator flagged that it will also review the Financial Adviser Register to ensure it correctly records the authorisation status of existing advisers who have not passed by the relevant date. ...

Practifi launches deal management app

ANDREW MCKEAN  |  TUESDAY, 16 AUG 2022
... single, unified platform, Practifi said that from deal prospecting and pipeline management to onboarding new firms or financial advisers, the app provides end-to-end transition management experience. Reregistered investment advisers, investment banking ...

CSLR establishment is critical: FPA

CHLOE WALKER  |  FRIDAY, 12 AUG 2022
The Financial Planning Association of Australia (FPA) has called out the urgent need for a broad-based Compensation Scheme of Last Resort (CSLR) following ASIC's recent notice for former Dixon Advisory clients to register any complaints with the ...

Convicted former financial adviser banned for life

CHLOE WALKER  |  TUESDAY, 9 AUG 2022
ASIC has permanently banned NSW-based financial adviser Ezzat-Daniel Nesseim after he was sentenced for repeatedly attempting to mislead the regulator. Nesseim is barred from performing any function involved in operating a financial services business ...

Holon, Gemini launch retail crypto funds

CASSANDRA BALDINI  |  THURSDAY, 28 JUL 2022
... unlisted retail Bitcoin (BTC), Ethereum (ETH) and Filecoin (FIL) funds. The launch will provide local investors and financial advisers with regulated access to the burgeoning blockchain and cryptocurrency worlds. A company issued statement called the ...

Suncorp agrees to super class action settlement

JAMIE WILLIAMSON  |  TUESDAY, 26 JUL 2022
... $33 million to settle a class action brought by superannuation members in 2019 over conflicted remuneration paid to financial advisers. The class action was brought by William Roberts Lawyers in June 2019 on behalf of Suncorp Super Fund members, alleging ...

Don't forget: Adviser exam deadline looms

CHLOE WALKER  |  MONDAY, 11 JUL 2022
... for at least the second time. The reminder comes after a recent Financial Standard analysis of ASIC's Financial Adviser Register, indicating a total loss of 3605 advisers from 1 July 2021 to 30 June 2022. In the same 12-month period, only 546 new advisers ...

Natalie Cameron named AFCA lead ombudsman

ANDREW MCKEAN  |  THURSDAY, 7 JUL 2022
The Australian Financial Complaints Authority has appointed Natalie Cameron as its new lead ombudsman for banking and finance. Cameron moves into the position from her current appointment as lead ombudsman for investments and advice at AFCA. She has ...

FS Power50 nominations open for 2022

CASSANDRA BALDINI  |  MONDAY, 4 JUL 2022
... All shortlisted candidates will be screened, with only financial advisers registered on ASIC's Financial Adviser Register as licensed to provide personal financial advice qualified to proceed to the voting round. The 50 individuals who attract the ...