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JOEL RONCHI
Financial planning
Financial advice practices may be hiring younger or professional year advisers as a succession option, but they may find they are unable to put up the capital if the advi...
Financial planning
Industry commentators have discussed the benefits of ticking off the ASIC adviser exam and gaining entry-level experience prior to commencing their professional year....
Financial planning
While the August financial advice exam saw a lower pass rate of 62 per cent compared with 70 per cent in previous sittings, this expert believes it’s for a positive reaso...
People & Products
The risk management and compliance system has announced internal leadership changes amidst its plans to fully automate the financial advice assurance process through AI....
Financial planning
Licensees should ensure they pre-vet any advice given, according to Fourth Line, as it is no longer acceptable to conduct retrospective audits....
Financial planning
One of the most important factors to a successful Professional Year strategy is for firms to look beyond the 12-month horizon and how a candidate can develop at the firm ...
Features
Liam Cormican explores what factors might have driven a higher proportion of people to fail the Australian Securities and Investments Commission’s first financial adviser...
Financial planning
It is the professional year that is the biggest hurdle for new entrants rather than exams but things are likely to improve in 2022 when it is clear how many existing advi...
Financial planning
Registrations close today for the July exam but sitting next month would give advisers the opportunity to sit again in 2022 if they fail. ...
Financial planning
In the last four exams, the Financial Adviser Standards and Ethics Authority has acknowledged that advice documentation is a problem area with exam performance. ...
Features
The industry has now had four rounds of FASEA exams, but Chris Dastoor writes advisers – particularly those who have passed – are still as confused and unhappy about the ...
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Podcast
The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...