Search ResultsShowing 1 - 10 of 100+ results for "Code of Ethics"
Why joint effort is required in advice
ELIZABETH MCARTHUR  |  THURSDAY, 5 DEC 2019
... of trying to be more aligned and collaborate," FPA chief executive Dante De Gori said. De Gori said the FASEA Code of Ethics is "not done and dusted" and confirmed the associations will continue to work together to get a favourable outcome for financial ...
New tool launches to help FASEA code compliance
ELIZABETH MCARTHUR  |  MONDAY, 2 DEC 2019
With less than 20 business days until the Financial Adviser Standards and Ethics Authority Code of Ethics comes into effect, some businesses are seeing opportunity. One such organisation is MyNextAdvice, which has launched a solution to help licensees ...
Update on FASEA code guidance on the way
ELIZABETH MCARTHUR  |  FRIDAY, 29 NOV 2019
... Standards and Ethics Authority chief executive Stephen Glenfield has confirmed more guidance on the contested Code of Ethics is imminent. Speaking to Financial Standard at the FPA Professionals Congress, Glenfield confirmed FASEA is aiming to have either ...
FASEA compliance has silver lining
KANIKA SOOD  |  FRIDAY, 29 NOV 2019
... financial planning practices that don't have a clearly laid out business plan, the workload of meeting FASEA's Code of Ethics requirements can be a great push to get it in order, according to a speaker at the FPA Congress. In a session about ...
AFCA reveals approach to Code of Ethics compliance
JAMIE WILLIAMSON  |  FRIDAY, 29 NOV 2019
... Financial Conduct Authority has outlined its approach to assessing financial planner conduct in relation to the Code of Ethics. Speaking at the FPA Congress, AFCA deputy chief ombudsman June Smith said the body will take a measured and considered approach ...
Regulators quash remuneration rumours
ELIZABETH MCARTHUR  |  THURSDAY, 28 NOV 2019
The Code of Ethics does not seek to ban particular forms of remuneration nor does it say that any forms of remuneration are specifically a conflict, FASEA chief executive Stephen Glenfield told the FPA Congress. Appearing as part of a regulatory update ...
FASEA exam tips from those who passed
ELIZABETH MCARTHUR  |  THURSDAY, 28 NOV 2019
... aspects of the act perfectly." Rather, he said the exam requires advisers to "identify their obligations under the Code of Ethics". "The questions posed will require advisers to provide general knowledge despite their area of specialisation," Glenfield ...
FASEA chief to provide update
ELIZABETH MCARTHUR  |  WEDNESDAY, 27 NOV 2019
... Glenfield was a late addition to the regulatory update session and is expected to provide an update on the FASEA Code of Ethics. He will also speak as part of the FASEA exam insights workshop. De Gori said: "We're really looking forward to having Stephen ...
Paraplanners tackle compliance challenges
ELIZABETH MCARTHUR  |  WEDNESDAY, 27 NOV 2019
... role of paraplanners in compliance has been highlighted at the FPA Congress, with discussion turning to the FASEA Code of Ethics which continues to present complications. Nadia Docker is director, client engagement at Integrity Compliance and part of ...
Advice associations welcome ASIC stance
HARRISON WORLEY  |  WEDNESDAY, 27 NOV 2019
... Australia's peak financial planning bodies have welcomed ASIC's stance on the Financial Planners and Advisers code of ethics, however remain concerned about the workability of certain standards. In separate statements, both the Financial Planning Association ...
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