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Showing 1 - 10 of 34 results for "FASEA Code of Ethics"

Advisers closer to professionalisation: FASEA

KARREN VERGARA  |  THURSDAY, 21 OCT 2021
... as a FASEA-approved degree are required to complete a university level ethics course that incorporates the FASEA Code of Ethics by 1 January 2026 and no further study is required.

ASIC announces advice affordability findings

KARREN VERGARA  |  TUESDAY, 6 JUL 2021
... and limited advice fall under the same regulatory requirements. Participants pointed out that meeting the FASEA Code of Ethics is a concern, as is the lack of clarity around the regulatory requirements for limited advice. The majority said that strategic ...

Lumiant raises capital, adds to board

KARREN VERGARA  |  WEDNESDAY, 23 JUN 2021
... "Lumiant frees them from regulatory and product constraints. Each module has been carefully mapped against the FASEA code of ethics, as well as ensuring advisers can easily adhere to know your customer and best interest duty requirements by letting the ...

The future of quality advice: SMSFA

ANNABELLE DICKSON  |  THURSDAY, 18 FEB 2021
... of advice practices. Ryan's first tip is investment in adviser capability and training. He referred to the FASEA Code of Ethics and subsequent exam. "The feedback we are getting is that it has been refreshing for advisers. They don't want to be in a ...

RIAA, AXA IM launch adviser ESG guide

ANNABELLE DICKSON  |  THURSDAY, 15 OCT 2020
... their knowledge to provide the best advice to clients. "The regulation of advice is also catching up. The new FASEA Code of Ethics requires advisers to consider the broader long-term interests of their clients, arguably requiring advisers to consider ...

82% of advisers pass August FASEA exam

ELIZABETH MCARTHUR  |  THURSDAY, 1 OCT 2020
... client biases and how these influence decisions, understanding the context of client requests and applying the FASEA Code of Ethics as well as demonstrating an understanding of ethical obligations when advising on complex family structures. FASEA said ...

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 ...

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 ...
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