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INDUSTRY NEWS
A former financial adviser has been permanently banned from providing financial services by ASIC....
INDUSTRY NEWS
Queensland-based financial adviser, Thanh Quoc Tu, who misled clients, has been permanently banned from engaging in the provision of financial services by ASIC. ...
INDUSTRY NEWS
ASIC has cancelled eight Australian Financial Services licences, after its review of licensees who failed to lodge audited annual statements....
INDUSTRY NEWS
The Australian Prudential Regulation Authority claims 11 entities it regulates are in the “intensive care ward” but doesn’t name them....
INDUSTRY NEWS
ASIC has accepted an enforceable undertaking from The Royal Bank of Scotland PLC and The Royal Bank of Scotland NV in relation to potential misconduct involving the Austr...
INDUSTRY NEWS
ASIC has suspended the AFSL of Brisbane-based planning business, Custom Wealth Solutions Dealer Services Pty Ltd....
INDUSTRY NEWS
The Government has launched a review of post-retirement products with a Treasury paper acknowledging current rules are imposing limitations. ...
INDUSTRY NEWS
FPA chairman, Matthew Rowe wants planners to be individually registered with ASIC as part of a fully enforceable professional code of conduct....
INDUSTRY NEWS
Financial planners' performance should be given a rating by customers and scores made readily available on a central register, BT Financial Group believes. ...
INDUSTRY NEWS
The Commonwealth Bank has moved to lift education standards for planners, supervisors and managers of planners....
INDUSTRY NEWS
Prime Financial Group Ltd has settled the first part of its expansion plan for combined accounting and wealth management investments. ...
INDUSTRY NEWS
Advisers’ attempts to cover all bases could be costing them new clients, with search patterns showing those with specialist offerings have greater pulling power, a planni...
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So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...