Tag: financial advisers

LeapRate interview: Defense against toxic flow, Jeff Wilkins speaks
November 26, 2018 BY Valentina Kirilova

ASIC urges financial advisers to ensure registration by the end of 2018

The Australian Securities and Investments Commission (ASIC) has reminded financial advisers, who are currently authorised, to make sure that they are on ASIC’s Financial Advisers Register no later than 31 December 2018, before new professional standards requirements take effect. Professional standards reforms for financial advisers were introduced in March 2017 to raise the education, training…

Read more
May 15, 2018 BY Valentina Kirilova

ASIC consults on code of ethics compliance schemes for financial advisers

The Australian Securities and Investments Commission (ASIC) announced that it has released a consultation paper outlining its proposed approach to approving and overseeing compliance schemes for financial advisers. Incoming training and education requirements for financial advisers include obligations to comply with a code of ethics that is being developed by the Financial Adviser Standards and…

Read more