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Showing 1 - 10 of 13 results for "CBA advisers"

ASIC bans former NAB, CBA advisers

JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
The corporate regulator permanently banned a former NAB financial adviser, while a former Commonwealth Bank and Synchron adviser was handed a five-year ban. Tai Thanh Nguyen of Adelaide was permanently banned by ASIC for dishonest conduct while licensed ...

Former CBA Private advisers join Wilsons

HARRISON WORLEY  |  WEDNESDAY, 14 NOV 2018
Wilsons Advisory appointed two former CBA advisers to its private wealth team. Curtis Smith and Peter Jones are set to link with the firm this month, bringing with them 30 years of experience in providing financial advice to high-net-wealth individuals. ...

Royal Commission latest: CBA doing more with fewer advisers

KARREN VERGARA  |  WEDNESDAY, 18 APR 2018
... it took more than two years to notify ASIC of the breaches. Hodge noted that between 2008 and 2017, the number of CBA advisers dropped by about 25% - from 733 to 582. Over the same period, its advised client base almost doubled to more than 191,000. ...

Commonwealth Bank refunding millions in fees for no service

JAMIE WILLIAMSON  |  MONDAY, 16 APR 2018
... compliance concerns, good governance notifications were made in relation to an additional 13 advisers and 15 former CBA advisers have been the subject of ASIC banning orders and/or enforceable undertakings. As at the end of 2017, CBA has paid or offered ...

Women program to reach all CBA advisers

LAURA MILLAN  |  THURSDAY, 19 NOV 2015
CBA's advice arm will extend its Woman and Financial Planning education program to all of its 600 employed planners. The program, which has been trialled with 110 advisers from Financial Wisdom and Count Financial, educates advisers about women's unique ...

CBA advisers ran from ASIC

ALEX BURKE  |  WEDNESDAY, 22 APR 2015
CBA chief executive Ian Narev said that he supported the idea of individual adviser misconduct being noted on the ASIC planner register, but the issue was complicated by advisers resigning when the regulator began its investigation. Speaking at the ...

Big end of town to face Senate over bad advice

LAURA MILLAN  |  FRIDAY, 17 APR 2015
... is going," Williams said. The Senator was the first to raise concerns in Parliament about cases of misconduct by CBA advisers and he tabled the motion for an inquiry into the performance of the Australian Securities and Investments Commission (ASIC) ...

CBA rolls out IRESS systems to all advice groups

LAURA MILLAN  |  WEDNESDAY, 11 MAR 2015
... technology to deliver a simpler and more engaging way to offer quality advice at a lower cost." Technology solutions that CBA advisers will be using include the IRESS XPLAN platform and IRESS' new XPLAN Prime solution. The transition to IRESS technology ...

ASIC to watch CBA advisers closely

LAURA MILLAN  |  FRIDAY, 14 NOV 2014
The Australian Securities and Investments Commission (ASIC) has appointed a compliance expert to examine the performance of advisers at Commonwealth Financial Planning and Financial Wisdom. KordaMentha Forensic will review past activities by Commonwealth ...

CBA to fund adviser education and association membership

LAURA MILLAN  |  FRIDAY, 18 JUL 2014
... Financial Planner certification with the Financial Planning Association (FPA). Starting from Friday last week, all new CBA advisers, direct supervisors or managers must hold a degree in finance, business, commerce or a related field. CBA head of advice ...
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