Compliance

Compliance Articles

ELIZABETH MCARTHUR | Comments | FRIDAY, 15 NOV 2019

A debate is raging about what the Financial Adviser Standards and Ethics Authority's Code of Ethics means for ESG investing and advising clients on ethical investment options, with FASEA chief executive ... A ... Read more

The shades of grey in the managed accounts world

PETER TURBACH | Comments | FRIDAY, 7 JUN 2019

There has been a lot of attention by the law makers and the regulators over the last few years in the advice business. Specifically in the managed accounts world, we have seen an impact from FOFA, the ... There ... Read more

Everything you need to know about best interests duty

CLAIRE WIVELL PLATER , SONIA CRUZ | Comments | FRIDAY, 19 OCT 2018

There are four things that you need to do after 1 July 2013 when providing personal advice to retail clients - in addition to the disclosure requirements. The four things include (note: the italicised ... There ... Read more

Looking ahead to possible reforms

VINCE BATTAGLIA | Comments | FRIDAY, 20 JUL 2018

Possible law reforms are on the agenda following the conclusion of the second round of hearings of the Financial Services Royal Commission. We identify the trends arising from the Royal Commission and ... Possible ... Read more

Continuing professional development for financial product advisers

PAM MCALISTER | Comments | MONDAY, 1 JAN 2007

One of the policy objectives of the financial services licensing regime is to ensure the competency of the licensee and its representatives to provide the financial services authorised under an Australian ... One ... Read more

Do you need PI cover?

JOHN BASSILIOS , HARRY NEW | Comments | MONDAY, 1 JAN 2007

A new regulation has been recently introduced in relation to AFSL holders' compensation requirements under section 912B of the Corporations Act while ASIC has released a consultation paper on how ... A ... Read more

ASIC and Westpoint: The mechanics of a collapsing mezzanine

GERARD MAGNER , MELANIE YOUNIS | Comments | TUESDAY, 1 JAN 2008

The collapse of the Westpoint group and the loss of many millions of dollars of investors' funds has been the subject of much publicity. ASIC has recently announced that it will commence legal action ... The ... Read more

Latest News


Apt Wealth Partners acquires firm ELIZABETH MCARTHUR \| 12:04PM Apt Wealth Partners, a national financial advice business with more than $1.5 billion in funds under management, has acquired a Melbourne-based advice firm.	Fraudulent adviser cops ban, jail time ELIZABETH MCARTHUR A financial adviser from the NSW town of Valentine has been permanently banned for making false statements to clients and misappropriating funds.

The growing risk to financial advisers ALLY SELBY Financial advisers must act to repair the trust deficit or risk being superseded by superannuation funds.	Viridian opens new offices KANIKA SOOD In some pre-holiday spending, Viridian Advisory opened 22 new offices in November, and is looking to launch a mobile app in 2020, says chief executive Glenn Calder.

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Service with a smile

SIMONE DU CHESNE
FINANCIAL PLANNER
EQ WEALTH

Financial advice might be the family business for Simone Du Chesne, but what really drives her every day is developing her client relationships to guide them through life's greatest challenges. Empathy and understanding are at the heart of everything she does, Elizabeth McArthur writes.

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Harry Goldberg Financial Adviser Purpose Advisory	Hari Maragos Principal Financial Planner Victoria Wealth Management	Jim Stackpool Managing Director Certainty Advice Group	Michael Sonego Partner - Corporate Finance Pitcher Partners
Advice can only be holistic with life coaching	The grownup perspective on the fires	Can financial planning firms survive?	Buy it rather than build it
There is no doubt about it: The financial advice industry is changing. We have advisers leaving the industry, more stringent compliance requirements ...	As of the 10 January 2020, the intense bushfire season in Australia has claimed 28 souls. It has also burned an estimated 26 million acres, destroyed ...	When do you know you are going out of business - just before you do. Why? Framing Bias. Amos Tversky and Daniel Kahneman explained this years ago. Basically ...	The 'buy it rather than build it' approach that's driving business innovation The strategy behind the acquisitions made by the billion-dollar ...
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