AFSL
Policy & Regulation
The corporate watchdog has commenced consultation on proposals to revise ‘sunsetting’ class orders relating to the managed funds industry....
Financial planning
New research by Desktop Broker has explored the key themes that would influence modern financial advisory firms and determine their growth trajectory in the years ahead....
Financial planning
A boost of 14 advisers joining the new Zurich Assure AFSL has contributed to positive net growth in adviser numbers....
Financial planning
Research from Rainmaker Information has revealed the AFSLs that experienced the largest net growth in number of financial advisers last year. ...
Financial planning
Tyson Scholz is suspected in carrying on a financial services business and promoting courses and seminars on Twitter and Instagram without a licence....
Financial planning
Frederick Ackerman has been banned by the corporate watchdog for four years and the advice firm he was an authorised representative of, Pure Strategy, had its licence can...
Financial planning
Queensland-based financial services firm Fentborough has seen its Australian financial services licence cancelled for failing to lodge documentation. ...
Policy & Regulation
The application follows an investigation by the corporate regulator after concerns unlicensed financial services were being conducted during the COVID-19 pandemic when mo...
Financial planning
The additional Australian financial services licence conditions imposed on Societe Generale Securities Australia a year ago have been removed from 3 June, 2021. ...
Financial planning
There have been rising cases of advisers who have found themselves as subjects of a breach without their knowledge after applying for their own Australian financial servi...
Financial planning
Robert Bayntun Starky has failed to pay an Australian Financial Complaints Authority (AFCA) determination and failed to lodge 2020 audited financial accounts....
Financial planning
The Financial Planning Association is pushing for the current adviser authorisations issued by licensees to be morphed into professional registrations under the new singl...
Financial planning
The Australian Securities and Investments Commission has admitted it has discretion over the so-called ASIC levy, and has pointed to Federal budgeting for driving the cur...
Financial planning
The Australian Securities and Investments Commission has suspended the Australian financial services licence of Queensland-based financial services provider Investors Exc...
Policy & Regulation
Both licences were cancelled because the firm failed to demonstrate it has the competence and resources to provide financial services and credit activities. ...
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MARKET INSIGHTS
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...