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Showing 1 - 9 of 9 results for "Advice register"

UK advisers told to review retirement advice processes

JAMIE WILLIAMSON  |  THURSDAY, 21 MAR 2024
Financial advisers in the UK are being asked to examine their processes when providing retirement income advice, following a thematic review that found some "are not even getting the basics right." The Financial Conduct Authority (FCA) undertook the ...

Advisers to bear brunt of AMP failings

JAMIE WILLIAMSON  |  FRIDAY, 9 AUG 2019
AMP advisers planning to exercise their Buyer of Last Resort (BOLR) arrangements look set to have their business valuations slashed as part of the institution's new strategy. AMP chief executive Francesco De Ferrari said the group will look to recalculate ...

Robo-advice register launches

KARREN VERGARA  |  TUESDAY, 23 OCT 2018
Adviser Ratings has launched a new website that compares a multitude of robo-advisers in the market. The Robo Adviser (Smart Tools) register profiles 36 financial management fintech solutions sold directly to consumers that provide budgeting, trading ...

ASIC bans former NAB, Westpac adviser

KARREN VERGARA  |  TUESDAY, 27 FEB 2018
... determined Ramsay failed to act in the best interests of client and his banning will be recorded in the Financial Advice Register. He has the right to appeal to the Administrative Appeals Tribunal to review ASIC's decision. Ramsay's case is among the ...

NAB pays $6.5m to resolve advice complaints

KERRIE SYDEE  |  WEDNESDAY, 28 SEP 2016
... and reasons of their departure. Current status: In addition to its reporting obligations for ASIC's financial advice register, NAB have implemented a process to notify ASIC in writing of any adviser departures where NAB has compliance concerns about ...

Advice register more detailed than expected

LAURA MILLAN  |  WEDNESDAY, 18 FEB 2015
The Treasury's public register of financial advisers will be more detailed than it was expected, the regulations introduced by Assistant Treasurer Josh Frydenberg show. As expected, the regulations include the obligation for financial advisers to provide ...

BT launches 'ground-breaking' advice register

JAMES FERNYHOUGH  |  TUESDAY, 14 OCT 2014
BT Financial Group has launched an online advice register listing every adviser on its network, and providing details of their qualifications, customer ratings and feedback. Dubbed 'Adviser View' and described by BT's general manager of advice Mark ...

Licensee transparency far more urgent than advice register

LAURA MILLAN  |  THURSDAY, 14 AUG 2014
... for licensees to provide references when an adviser leaves a dealer group is more urgent than the government's advice register, the Association of Financial Advisers (AFA) chief executive Brad Fox said. "My belief is that it's more important and more ...

Advice register talks focus on financial advice scope

LAURA MILLAN  |  MONDAY, 4 AUG 2014
... committee on the proposed register of advisers focused what kind of financial advisers should be included. The advice register working group met last Thursday and will meet again before mid-August, when the consultation process will finish and stakeholders ...
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