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Search ResultsShowing 1 - 10 of 100+ results for "Code of Ethics"
Former analyst gets three year sentence
KANIKA SOOD  |  MONDAY, 14 SEP 2020
... in Big Un." "In February 2018, Maple-Brown Abbott became aware that employee Michael Ho had breached the firm's Code of Ethics. As a result, Mr Ho immediately left the firm." "Maple-Brown Abbott seeks to uphold very high standards which are reflected ...
QBE chief exits after workplace complaint
ALLY SELBY  |  TUESDAY, 1 SEP 2020
... concluded Regan's "poor judgement" concerning workplace communications did not meet the standards set out in its group code of ethics and conduct. QBE group chair Mike Wilkins, who will step into the role as the group undertakes an internal and external ...
Advice disciplinary body delayed
KARREN VERGARA  |  FRIDAY, 28 AUG 2020
... licence holder to ensure its authorised representatives are abiding to internal standards and the industry's code of ethics. ASIC has stated that it has no role in monitoring or enforcing advisers' compliance under the new disciplinary body ...
Synchron compliance lead resigns
ELIZABETH MCARTHUR  |  WEDNESDAY, 12 AUG 2020
... team," Trapnell said. Synchron has also promoted Stefanie Georgiades, who authored Synchron's recent FASEA Code of Ethics ready reference book, to Team Leader - Regulatory Compliance, she will report to Abdullah.
Regulatory, legal exam questions trip up advisers
ELIZABETH MCARTHUR  |  MONDAY, 3 AUG 2020
... were among the areas where advisers were most likely to underperform. Understanding the application of the FASEA Code of Ethics and the Corporations Act to advice scenarios also proved challenging to many. So too did the identification of client bases ...
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
... director 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 ...
FASEA too soft on ethical investing: Advisers
ELIZABETH MCARTHUR  |  THURSDAY, 30 APR 2020
... a 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 ...
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