There is a raft of compliance obligations coming into place over the next few months and advisers need to ensure they have all their ducks in a row to avoid any breaches,...

Best interest duty could apply to licensees and mortgage brokers even if the product was not a mortgage, according to The Fold Legal....

Financial advisers and authorised representatives looking to provide claims handling services for insurance products will be able to represent more than one Australian fi...

Recommending a super or investment platform is providing financial product advice and advisers need to make sure they meet the needs and objectives of clients, according ...

Those looking to acquire advice firms may be well-advised to terminate advisers if they have questionable regulatory compliance histories....

Advisers recommending in-house managed account products to clients could be subject to scrutiny on whether it is a conflict of interest, according to The Fold. ...

Licensees in an agreement with unlicensed product issuers cannot deal in a financial product unless they are issuing, varying, or disposing for the product issuer, accord...

Firms looking to structure its group purchasing arrangements should look to alternatives as the group purchasing body relief might be replaced soon....

It would be reasonable to have all Australian Financial Complaints Authority members pay for and be covered by the new scheme, according to a law firm....

Legislation surrounding the regulation of claims handling may have insurers and related parties look to fall under a single Australian Financial Services License to ease ...

As planners may struggle to obtain finance to buy new practices, vendor finance may be a solution, according to a law firm....

The buyer of last resort process is more complicated than advisers might expect as some licensees are focusing on where they can manoeuvre away from the agreed valuation,...

The Safe Harbour provision does not provide as much protection as advisers expect and could be abolished in due course, according to The Fold Legal. ...

The 'weaponisation of compliance' is bringing up wider problems with licensees, not just a few individual bad apples. ...