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Search ResultsShowing 1 - 10 of 100+ results for "Code of Ethics"
Confusion over RG 146 requirements
ELIZABETH MCARTHUR  |  WEDNESDAY, 10 JUN 2020
... continue with the RG 146 policy and compliance until completing the FASEA exam and approved education. "The FASEA Code of Ethics will work alongside RG 146 until such time as the exam and education qualification conditions are met," Fox said. "Once met ...
Magellan to use BasisCode for trading compliance
KANIKA SOOD  |  TUESDAY, 2 JUN 2020
... ease of use and seamless interaction with employees," BasisCode said. BasisCode Personal Trading Manager delivers code of ethics and workflow support integrated into a firm's compliance monitoring system. The third product, the BasisCode Insider ...
Adviser fears over ASIC relief
HARRISON WORLEY  |  THURSDAY, 30 APR 2020
... Cara Graham agrees, saying even with the temporary measures advisers are still required to abide by the FASEA Code of Ethics. "It's not as if that's [the Code] gone out of the window," Graham says. "All the steps in the onboarding process are there to ...
FASEA too soft on ethical investing: Advisers
ELIZABETH MCARTHUR  |  THURSDAY, 30 APR 2020
... Responsible Investment Association of Australasia webinar some financial advisers have suggested that FASEA's Code of Ethics doesn't go far enough on ethical investing. Appearing on the webinar, Federation Financial Services adviser Dave Rae pointed ...
Compliance worse than COVID-19
ALLY SELBY  |  THURSDAY, 23 APR 2020
... there was a consensus that more was to come. In the last few years, advisers had faced FoFA reforms, the FASEA Code of Ethics, Royal Commission recommendations, ASIC Project 515 and "lookback" projects as a result of the fee for no service issue, he ...
Count Financial bolsters leadership team
ALLY SELBY  |  MONDAY, 6 APR 2020
... worked with Countplus chief executive Matthew Rowe to develop the Financial Planning Association of Australia's code of ethics and professional standards, now used globally through the Global Financial Planning Standards Board. Commenting on the appointment ...
Industry bodies work to ease regulatory burdens
ELIZABETH MCARTHUR  |  FRIDAY, 3 APR 2020
... possible," Marshan said. "We have been asking for some certainty from ASIC around best interests duty and the Code of Ethics to ensure you can scope the advice quickly and efficiently for the client to deal with, for example, taking money from superannuation." ...
Could relief on advice compliance save consumers?
ELIZABETH MCARTHUR  |  THURSDAY, 2 APR 2020
... immediate needs being met." He also wants to see ASIC take more of a facilitative approach (as it did with the FASEA Code of Ethics) with legislation passed or in the pipeline including the FASEA exam. "Any and all of these initiatives would free up ...
IMAP not anticipating regulatory overhaul
ELIZA BAVIN  |  WEDNESDAY, 25 MAR 2020
... and then there would be a further period before those regulations became effective," he said. In relation to the code of ethics, Potter said IMAP has been working closely with FASEA on the impact of the code and those who give advice on managed accounts. ...
Life commissions, referral fees still kosher: AFA
ELIZABETH MCARTHUR  |  THURSDAY, 27 FEB 2020
... professionalism Phil Anderson dove into commissions and fees in a detailed presentation in light of the FASEA Code of Ethics, Life Insurance Framework and other regulatory changes. Anderson pointed out CountPlus chief executive Matthew Rowe's recently ...
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