Search ResultsShowing 1 - 10 of 100+ results for "code of ethics"
Advice complaints low: AFCA
ELIZABETH MCARTHUR  |  WEDNESDAY, 19 FEB 2020
... disseminating to financial firms, with the aim of clarifying how it handles claims fairly. Singh focused on the FASEA Code of Ethics, saying this has added obligations for financial advisers in AFCA's view. "We are required to have regard for industry ...
Product provider makes big FASEA promise
ELIZABETH MCARTHUR  |  WEDNESDAY, 12 FEB 2020
... will help financial advisers avoid getting caught out by the Financial Adviser Standards and Ethics Authority Code of Ethics. Lonsec says it has solutions to help financial advisers meet the Code of Ethics requirements that they avoid conflicted remuneration ...
Advisers still unclear on referral rules
ELIZABETH MCARTHUR  |  WEDNESDAY, 29 JAN 2020
The Financial Adviser Standards and Ethics Authority Code of Ethics which came into effect from the start of the year has left many unclear on what kind of referrals are allowed. Amid news at the start of the year that Mark Bouris' Yellow Brick Road ...
SMSFA chief slams regulators, FASEA
ALLY SELBY  |  FRIDAY, 24 JAN 2020
... key area of concern relates to the manner in which FASEA is executing its mandate, especially in relation to the code of ethics which came into force earlier this month," he said. "We fully support the goals contained in FASEA's mandate to lift standards ...
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 ...
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