'Not to Be' Is No Longer an Option
- Trusted advice. Sampson, Annette // Money (Australia Edition);Sep2014, Issue 171, p42
The article discusses the changes in the financial advice rules in Australia as of September 1, 2014 aimed to cut down red tape and how it will affect adviser-client relationships. Topics covered include whether under the changes, financial advisers are still required to act in the best interest...
- SEC Tripwires. Koreto, Richard J. // Financial Planning;May2003, Vol. 33 Issue 5, p87
Discusses the challenge of rules and requirements facing retirement investment advisers (RIA) in the U. S. Advice to RIA placing clients in variable annuities; Series of requirements as part of a general compliance proposal; Advice to RIA who vote proxies on behalf of clients. INSET: From the...
- Government firm on commissions. // Money Management;6/10/2010, Vol. 24 Issue 20, p11
The article reports that the ban on commissions paid to financial advisers in Australia is a part of the federal government's measures to make the country a regional financial services hub.
- The enforcer: Illinois prepares to regulate financial planners. Fritz, Michael // Crain's Chicago Business;09/15/97, Vol. 20 Issue 37, p4
Reports that Illinois is planning to regulate financial planners. Estimated number of investment advisers in Illinois; Questions pertaining to the state's ability to carry out its regulatory function; Information on the National Securities Markets Improvement Act of 1996; Response of consumer...
- Finsia launches new professional designation. Beaman, Lucinda // Money Management;6/24/2010, Vol. 24 Issue 22, p4
The article reports on the launch by the Financial Services Institute of Australasia (FINISIA) of a professional designation for the financial services industry that would test the importance of the Certified Financial Planner mark of the Financial Planning Association in Australia.
- Coalition's policy paper reiterates FOFA promise. Poprajac, Milana // Money Management;7/18/2013, Vol. 27 Issue 27, p6
The article reports on the Policy to Boost Productivity and Reduce Regulation paper released by the Australian coalition government, which expresses their intention to amend the Future of Financial Advice (FOFA) legislation to reduce the compliance cost paid by small business financial advisers.
- CFP amends its disciplinary rules. Kutz, Steven // Financial Planning;Jun98, Vol. 28 Issue 6, p28
Announces the revisions in the Disciplinary Rules and procedures of the Certified Financial Planner (CFP) Board of Standards. Highlights of the changes.
- Who's the boss? Longo, Tracey // Financial Planning;Jun98, Vol. 28 Issue 6, p101
Deals with the question of whom does a financial planner works for. Reason for the difficulty in answering the question; Details on the fiduciary oath developed by the National Association of Personal Financial Advisors (NAPFA); Goal of the oath.
- Lawyers target planners for litigation growth. Taylor, Mike // Money Management;10/3/2013, Vol. 27 Issue 38, p1
The article reports on the financial planner litigation targeted by law firms as a growth area, according to the Australian Securities and Investments Commission (ASIC) senior executive Louise Macaulay.