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Showing 1 - 10 of 175 results for "Code of Ethics"

Self-regulation on the cards: FAAA

KARREN VERGARA  |  THURSDAY, 28 NOV 2024
... our standards, and we believe that we are now ready and most qualified to take control of education and training, code of ethics, and disciplinary regime," he told the annual FAAA Congress held in Brisbane. "We are a profession. We should expect to be ...

Adviser suspended over wrongful use of ROAs

JAMIE WILLIAMSON  |  MONDAY, 25 NOV 2024
... be substantiated," the FSCP said. "The Sitting Panel found that the relevant provider failed to demonstrate the Code of Ethics' values of competence, fairness and diligence and breached Standards 1, 2, 5, 6 and 8." Reid will be able to provide advice ...

Advisers urgently call on Treasury to recognise degrees

KARREN VERGARA  |  TUESDAY, 14 MAY 2024
... Commission with a remit approving the education standards for advisers, mandatory exam, and the profession's code of ethics. Fox added that professionals working in capital markets have traditionally recruited the "best of the best from the group ...

'Should have known better': AAT tells auditor

JAMIE WILLIAMSON  |  FRIDAY, 1 DEC 2023
... Other arguments included that Townshend was under the impression that independence requirements laid out in the Code of Ethics "did not apply to SMSFs because the relevant provisions appear on their face to be directed to members of an audit team rather ...

Will HNW firms re-enter retail advice?

KARREN VERGARA  |  WEDNESDAY, 1 NOV 2023
... chief executive Maria Lykouras told yesterday's AFR event. With increased education standards, the focus on the code of ethics, uplift in some of the legislative requirements, Lykouras said that it puts JBWere in a "strong position now to focus and ...

Adviser exam records 73% pass rate

JAMIE WILLIAMSON  |  FRIDAY, 15 SEP 2023
... Act and the Tax Agent Services Act; applied ethical and professional reasoning and communication (including the Code of Ethics); and financial advice construction - the suitability of advice aligned to different consumer groups, incorporating consumer ...

Advisers lacking PII sidestep AFCA rulings

KARREN VERGARA  |  FRIDAY, 28 JUL 2023
... advisers decreasing, the standards have inversely increased. From about 2018, when new education standards and the Code of Ethics were introduced, Singh said there has been an increase in the quality of advice delivered by the profession. It is "almost ...

FSCP hands down second order, audits adviser

KARREN VERGARA  |  WEDNESDAY, 28 JUN 2023
... client and providing advice that was not appropriate. He also made false and misleading statements and breached the Code of Ethics, such as the duties of trustworthiness, competence, honesty, fairness, and diligence. As a result, the panel has forced ...

Large AFSLs lead advice complaints: AFCA

KARREN VERGARA  |  THURSDAY, 22 JUN 2023
... panel said Mr. S contravened the Corporations Act by engaging in misleading or deceptive conduct and breaching the Code of Ethics. The FSCP ultimately ordered Mr. S's licensee to perform three successive compliance audits in relation to personal ...

ASIC releases May exam pass rate

KARREN VERGARA  |  MONDAY, 19 JUN 2023
... Act and the Tax Agent Services Act; applied ethical and professional reasoning and communication (including the Code of Ethics); and financial advice construction - the suitability of advice aligned to different consumer groups, incorporating consumer ...
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Funds SA appoints chief investment officer

ANDREW MCKEAN
Funds SA has appointed a new chief investment officer, who will join from Hostplus, to commence in February 2025.

Australian Retirement Trust appoints new chief risk officer

ANDREW MCKEAN
Australian Retirement Trust (ART) has appointed a new chief risk officer that's set to start in March 2025.

UniSuper has 'some work to get on with' on cyber front: Chair

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UniSuper's leadership team has touched on how the fund is strengthening its operations following the extensive system outage in May this year.

Super framework, SMSFs conducive to financial abuse: Inquiry

KARREN VERGARA
Lax superannuation laws make it too easy for perpetrators of domestic violence to access victims' retirement savings, while the current framework for self-managed super funds (SMSFs) enables financial abuse to flourish, a parliamentary inquiry found.

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