Search ResultsShowing 1 - 10 of 100+ results for "Code of Ethics"
Sophistication: More than money
ELIZABETH MCARTHUR  |  TUESDAY, 7 JAN 2020
Under the FASEA Code of Ethics the amount of money an individual has to invest can no longer be relied upon to determine whether they are a sophisticated investor or not. Sophisticated investors are defined by ASIC's Money Smart as investors with a ...
FASEA loses board director
ELIZA BAVIN  |  MONDAY, 6 JAN 2020
... Financial Adviser Standards and Ethics Authority, the announcement coinciding with the commencement of the new Code of Ethics. Catriona Lowe will step down from the FASEA board effective January 31 as she has been appointed to a full-time role as a State/Territory ...
FASEA responds to concerns
ELIZABETH MCARTHUR  |  FRIDAY, 20 DEC 2019
... Ethics Authority today released a preliminary response to submissions from stakeholders on its much contested Code of Ethics, attempting to answer some of the many questions raised so far. FASEA consulted with stakeholders following the release of its ...
18 misconceptions about FASEA code
ELIZABETH MCARTHUR  |  THURSDAY, 19 DEC 2019
... provider has outlined 18 common misconceptions relating to the Financial Adviser Standards and Ethics Authority Code of Ethics, which comes into effect on January 1. Roger Patterson, whose company Blue Path provides FASEA exam preparation workshops ...
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 ...
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