POLICY & REGULATION

INDUSTRY NEWS

Both the Australian Securities and Investments Commission and the Treasury will need adequate funding and resourcing to handle their new regulatory roles following the cl...

INDUSTRY NEWS

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

INDUSTRY NEWS

The corporate regulator has commenced proceedings against Sydney-based derivatives provider Union Standard International Group over illegal Chinese activities....

INDUSTRY NEWS

Anyone looking for over the top largesse being heaped on the Australian Securities and Investments Commission will be sadly disappointed. ...

INDUSTRY NEWS

A belief that it cannot win has persuaded the Australian Securities and Investments Commission against appealing the decision of the Federal Court in relation to former T...

INDUSTRY NEWS

Superannuation funds have been delivered another 12 months’ breathing space on reporting portfolio holdings simply because the Government has not made the necessary regul...

INDUSTRY NEWS

The client should emerge the ultimate beneficiary of the remediation process, even if all the facts aren’t known, according to the Australian Securities and Investments C...

INDUSTRY NEWS

Mudasir Mohammed Naseeruddin (also known as Naseer or Mudasir) has been arrested and charged with dishonest conduct....

INDUSTRY NEWS

The corporate regulator’s consultation aims to help firms identify issues that can lead to remediations earlier and to have arrangements and systems in place to return mo...

INDUSTRY NEWS

The Government has announced it will implement a range of reforms, including greater independence of the Tax Practitioners Board from the Australian Tax Office and a redu...

INDUSTRY NEWS

The Australian Prudential Regulation Authority has admitted that the structures surrounding Industry Super Australia and Industry Fund Services have precluded it finding ...

INDUSTRY NEWS

The Australian Securities and Investments Commission has commenced civil proceedings against the Commonwealth Bank over charging a rate of interest on business overdraft ...

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MARKET INSIGHTS

The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...

1 month 4 weeks ago

Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...

2 months 3 weeks ago

It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...

3 months ago

ASIC has canceled the AFSL of Sydney-based asset consultant and research firm....

4 weeks 1 day ago

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ASIC has banned a Melbourne-based financial adviser for eight years over false and misleading statements regarding clients’ superannuation investments....

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