Search Results | Showing 1 - 10 of 512 results for %22Financial Advisers Register%22 |
| | ... and conflicts of interest. When it comes to monitoring them, ASIC found trustees' checks against the Financial Advisers Register varied from weekly to annually or were ad-hoc. "Trustees must be vigilant, as advisers with poor conduct, including those ... |
| | | The number of financial advisers in Australia appears to be stabilising at 15,602, as Count and AMP Financial Planning continue to hold the lion's share. Rainmaker's analysis of the ASIC Financial Adviser Register (FAR) shows that the population ... |
| | | MC Lawyers & Advisers has launched a class action investigation into claims of investor losses in various financial products issued by GEMI Asset Management. The law firm said investigations were targeting scenarios in which wholesale or sophisticated ... |
| | | ... limited to four areas: credit intermediaries, such as mortgage brokers, credit providers, such as lenders, financial advisers, and general securities dealers, or stock exchange organisations. The maximum compensation amount is $150,000. One major criticism ... |
| | | Financial advisers in the UK are being asked to examine their processes when providing retirement income advice, following a thematic review that found some "are not even getting the basics right." The Financial Conduct Authority (FCA) undertook the ... |
| | | ... and negative effect. "It is extremely concerning that because of these issues, the high quality and compliant financial advisers of today are being asked to fund compensation for the clients of Dixons, a firm which has been in administration now since ... |
| | | ASIC is putting the pressure on financial advisers to provide appropriate SMSF advice using "professional judgment", as the regulator flags serious instances of misconduct it wants to curb. At the annual SMSF Association National Conference, ASIC senior ... |
| | | ... their AFS Licensee. "ASIC encourages relevant providers to check their registration status on the Financial Advisers Register today to ensure that they are recorded as 'registered'," ASIC warned. "If they are not recorded as 'registered' ... |
| | | Financial advisers can now access premium content and portfolio analytics via J.P. Morgan Asset Management's upgraded adviser portal. JPMAM said it's focused on "providing access to new tools and functionality in a more customised way for advisers." ... |
| | | Financial advisers are promised "greater flexibility" in gaining educational and training qualifications under new amendments proposed by Treasury. Yesterday, assistant treasurer Stephen Jones launched a consultation to update how advisers can demonstrate ... |
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