Registration Representative Job Description

The Financial Services Act (FSG) and the Civil Penalty

The Act defines a representative as including Authorised Representatives, employees and directors of an AFSL holder or of its related bodies corporate. It is a broad net and its purpose is to place responsibility on a Licensee for all financial services provided under its licence, no matter who the person is providing the services. Licensees are required to take reasonable steps to ensure that their representatives are trained and comply with the financial services laws.

The disclosures that need to be made are different for the FSG and the Authorised Representative. The Licensee will be the providing entity if an adviser is an employee. The individual adviser will be the provider of the advice in the case of an Authorised Representative.

You may ask what's going on. The civil penalty action that could flow from a violation of the best interests obligations is the rub. The Civil Penalty regime is directed at the entity that provides the service.

The Licensee is in the firing line if an Employee Representative is found to have violated their obligations. There is a If you are thinking of appointing an Authorised Representative or are considering becoming one, please proceed with caution.

A Patient Registration Representative Position in a Hospital Environment

A patient registration representative will handle the patient registration process and perform a variety of administrative tasks. The patient registration representative job duties include gathering all information from the patient, entering the information into the system database, handling admission and discharges of the patient, and taking signature from the patient in all relevant insurance, admission and release forms. The Patient registration Representative has 2 years of experience in performing bed control duties, including reviewing unit census in coordination with Environmental Services supervisor and House supervisor to determine patient placement, monitoring assigned bed tab to place rooms within the designated time frame, and maintaining bed.

As a patient registration representative, they answer internal and external calls, take requests for patient information, and schedule outpatient appointments and tests according to policies and procedures. The objective is to have a Patient registration representative with at least 5 years of experience who is self-directed and knowledgeable who can help patients get their authorizations for office visits and procedures. The objective is to find a professional with 10 years of experience in healthcare.

The Securities and Financial Markets Commission (SEC): Regulation Rules for Broker-Dealer Activities

Within 45 days of filing the application, the SEC will either grant registration or begin proceedings to determine if it should deny registration. The SEC may register with the condition that the member of the SRO must be present. The application procedures for membership are independent and the SROs are not required to act within 45 days of the application being filed.

State registration may be required. A broker-dealer must comply with applicable laws. You can get copies of Form U-4 from an SRO.

The website of the Financial Industry Regulatory Authority contains information and guidance for individuals who wish to obtain a series license. You should consult with the applicable state securities regulators if you have questions about the licensing and registration requirements individual states. Form BDW is not considered "filed" unless it is deemed complete by the SEC and the SRO.

If the firm is no longer in existence or has stopped doing business as a broker-dealer, the SEC may cancel the registration. An ATS must file quarterly reports with the Division of Trading and Markets. Broker-dealers are subject to examination by the SEC.