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Showing 1 - 9 of 9 results for "Financial Product Advisers"

ASIC sets out limited advice expectations

KARREN VERGARA  |  THURSDAY, 2 DEC 2021
... comprehensive in scope," ASIC said. INFO 267 and the sample SOA summarises Regulatory Guide 175 Licensing: Financial product advisers-Conduct and disclosure (RG 175) and Regulatory Guide 244: Giving information, general advice and scaled advice (RG 244). ...

FOFA breach sees former adviser banned

JAMIE WILLIAMSON  |  THURSDAY, 20 JUL 2017
... serve as a reminder to financial advisers of their obligations under Regulatory Guide 175 Licensing: Financial product advisers - conduct and disclosure, including guidance on complying with the best interest duty and satisfying the 'safe harbour'. Atkins ...

Industry funds oppose bachelor degree for general advisers

LAURA MILLAN  |  TUESDAY, 11 FEB 2014
... submission to the Australian Securities and Investments Commission (ASIC) consultation on training of financial product advisers (CP212). The organisations representing industry super funds expressed "concern that increasing the minimum requirements ...

Industry funds ask for specialised SMSF adviser training

LAURA MILLAN  |  THURSDAY, 3 OCT 2013
... SMSF advice to have its own specialist knowledge section within Regulatory Guide 146 on Training of Financial Product Advisers. "AIST and ISN recommend that ASIC conducts CTA research to identify the knowledge topics which are relevant to SMSFs, in particular ...

ASIC mulls replacing adviser Training Register

ALICE URIBE  |  MONDAY, 19 AUG 2013
... Australian Securities and Investments Commission is considering replacing the ASIC Training Register for financial product advisers. In a Consultation Paper (Consultation Paper 215 Assessment and approval of training courses for financial product advisers ...

ASIC proposes stricter training requirements for advisers

LAURA MILLAN  |  MONDAY, 24 JUN 2013
... submissions until September 30, 2013. The consultation paper is an update to RG 146 "Licensing: Training of financial product advisers" and proposes an increase on generic knowledge requirements, specialist knowledge requirements for financial planning ...

ASIC delays start date for advisers exam

LAURA MILLAN  |  THURSDAY, 11 APR 2013
... bedded down. In the coming months, ASIC will also consult on enhancements to the training standards for financial product advisers and will underline the importance of strengthening the framework for adviser competency. "We want consumers to have greater ...

ASIC to update planner training guidelines

CHRIS NICHOLLS  |  WEDNESDAY, 1 AUG 2007
... the ASIC Training Register. "We do not propose to fundamentally rethink our policy on the training of financial product advisers", ASIC's executive director of regulation, Malcolm Rodgers said. "The main focus of this review is to examine changes to ...

ASIC clarifies conduct and disclosure obligations for financial planners

... account developments in industry practice and experience." ASIC outlined Policy Statement 175 Licensing: Financial product advisers - conduct and disclosure that provides guidance from ASIC for advisers on their conduct and disclosure obligations. The ...
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