The Financial Planning Act of 2008
- The missing pieces. Roberts, Pam // Money Management;2/9/2012, Vol. 26 Issue 4, p18
The article presents the author's views on why the Future of Financial Advice (FOFA) reforms in Australia look like a jigsaw puzzle with a few pieces missing. The author states that thought the Government and the industry have disagreed on 'option' and commission on risk premiums, the unbundling...
- Industry welcomes Shorten's consumer protection moves. Kennedy, Chris // Money Management;12/6/2012, Vol. 26 Issue 47, p3
The article reports on acceptance by the Financial Planning Association (FPA) of Australia Ltd. and the Association of Financial Advisers Ltd. over the proposed draft regulation by Financial Services Minister Bill Shorten that restricts the use of the terms financial planner and financial adviser.
- No room left for carpet-baggers. Taylor, Mike // Money Management;12/6/2012, Vol. 26 Issue 47, p11
The article focuses on the concept over the legal enshrinement of the terms financial planner and adviser as proposed by Australian Minister for Financial Services Minister Bill Shorten.
- Emma Simon: FCA must clamp down on financial 'introducers'. // Money Marketing (Online Edition);3/11/2014, p14
The article presents the thoughts of the author on why the Financial Conduct Authority (FCA) needs to tighten its rules to address firms acting as introducers as they able to promote unregulated investments without regarding suitability of an investment. The author notes that such firms say that...
- Apfa writes to Govt over 'unjustifiable' hike in adviser fees. Norman, Tessa // Money Marketing (Online Edition);4/22/2015, p1
The article reports on the query of the Association of Professional Financial Advisers over the unjustifiable increase in the Financial Conduct Authority fees of advisers in Great Britain. Topics discussed include the increase in the minimum fee of advisers, consumer protection, and financial...
- Regulation needs fundamental reform, starting with the term 'restricted'. LEWIS, PAUL // Money Marketing;9/10/2015, Issue 1500, p30
The article reports that the British Financial Conduct Authority (FCA) is reviewing the rules governing financial advisors. Topics discussed include the difference between restricted and independent financial advisors, the reasons why the FCA should change the legal definition associated with...
- James Jones-Tinsley: Govt Finance Act delay is unacceptable. Jones-Tinsley, James // Money Marketing (Online Edition);12/02/2015, p2
The article discusses the delayed implementation of the Finance Act 2015-16, which passed through Great Britain's Parliament in July 2015 but gained Royal Assent status only in November 2015. Topics covered include the Finance Act provisions considered relevant to financial advisers and their...
- 10 years ago in the Profession. // Journal of Financial Planning;Jul2001, Vol. 14 Issue 7, p23
Looks at the reintroduction of the Boucher bill in the United States Congress in July 1991 which required financial planning services providers to register as investment advisers. Failure of the bill to gain enough support; Ruling of the Securities and Exchange Commission and the National...
- Investment Advisers Act splits regulatory oversight. P.D. // Practical Accountant;Dec96, Vol. 29 Issue 12, p8
Reports on the passing into law of the Investment Advisers Supervision Coordination Act, effective April 11, 1997. Less government regulation of financial planners in the United States; Concerns about the law's impact on financial accounting practices.