 ELIZABETH MCARTHUR | 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 Stephen Glenfield forced to clarify the is ... Read more  PETER TURBACH | 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 updated regulatory guide 179 (RG 179) and now most ... Read more  CLAIRE WIVELL PLATER , SONIA CRUZ | 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 items are new) Read more  VINCE BATTAGLIA | 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 look at them in the context of other current law ... Read more GERARD MAGNER , MELANIE YOUNIS | 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 to recover damages on behalf of investors in ... Read more JOHN BASSILIOS , HARRY NEW | 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 it intends to administer the compensation requirements ... Read more PAM MCALISTER | 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 Financial Services License (AFSL). This objective ... Read more |
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Adviser fakes exam certificate, cops ASIC ban
ASIC has slapped a permanent ban on a financial adviser who doctored her exam certificate and continued to provide advice without the proper qualifications.
Sequoia chief's job at stake in upcoming EGM
Sequoia Financial Group will hold an Extraordinary General Meeting (EGM) in June that will consider a resolution to remove chief executive and managing director Garry Crole.
Goldman Sachs ditches robo-adviser Marcus Invest
The investment bank is offloading Marcus Invest to Betterment just three years after announcing it will launch the digital adviser.
Fortnum, PFS launch parent company
Fortnum Private Wealth and its newly acquired advice business Professional Financial Services (PFS) will operate under a newly launched parent company brand, Entireti.
Cover Story
Passing the baton
LIAM ROCHE
ADVICE ASSOCIATE
EUREKA WHITTAKER MACNAUGHT PTY LTD
ADVICE ASSOCIATE
EUREKA WHITTAKER MACNAUGHT PTY LTD
Liam Roche's experience in customer relationships and paraplanning has set him up for success as a financial adviser. Now undertaking the Professional Year, the advice associate at Eureka Whittaker Macnaught tells Karren Vergara how a new breed of advisers is flying the flag.
Expert Feed
Five steps to drive high performance in advice firms
Australian financial advice firms have dealt with major industry reforms over recent years, and now encounter a shifting economic environment.
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In today's evolving technology landscape, there is rapidly growing interest in leveraging digital solutions to address the various challenges, particularly ...
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The not-so-secret sauce of enduring client relationships is an effective and engaging onboarding process. Do it well and you will likely have clients ...
Financial control
The term financial control generally evokes a weaker party being controlled by a stronger one. This might be in a relationship where one partner controls ...
