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AFSLS
Policy & Regulation
Melbourne-based lawyer, Dan Mackay, argues that AMP is on far from firm legal ground in its approach to advisers and Buyer of Last Resort....
Policy & Regulation
The Australian Securities and Investments Commission has said that claims that it causes serious delays in “stringently reviewing” responsible manager appointments are “p...
Superannuation
The Administrative Appeals Tribunal has upheld a decision to refuse Superannuation Warehouse’s application for a limited Australian financial services licence, after its ...
Policy & Regulation
The Australian Securities and Investments Commission has confirmed hundreds of firms operating in the Australian financial services industry are affected by the United Ki...
Policy & Regulation
ASIC has imposed additional conditions on the Australian financial services licence of Kaz Capital, following concern on the adequacy and effectiveness of the company’s c...
Policy & Regulation
Having an unblemished record as a chartered accountant is not justification in itself for being granted an Australian Financial Services License, according to the Adminis...
Policy & Regulation
The new industry funding model for the Australian Securities and Investments Commission will see financial planning licensees and credit providers carrying some of the gr...
Financial planning
The Australian Securities and Investments Commission has cancelled the licence of a Sydney-based financial advisory firm following surveillance into potential issues of l...
Financial planning
As rumours swirl about the demise of the dealer group, ClearView has announced an offering that would give financial advisers who want their own AFSL access to the compan...
Funds management
DomaCom and DFS Portfolio Solutions have launched together a branded mortgage sub-fund with an initial $4.1 million....
Tech
The Financial Planning Association has highlighted the industry’s lack of understanding around the uses of fintech in a new whitepaper....
Financial planning
The corporate watchdog has cancelled the AFSLs of Capstone Capital and Rebate Financial Services....
Funds management
The Institute of Managed Accounts Professionals will conduct a census of institutions and AFSLs to gauge the FUM invested through managed accounts for 2016. ...
Funds management
Some confusion remained over ASIC’s rules on the timeframe within which licensees must report changes in entity control but licensees should abide by the original 10-day ...
Policy & Regulation
A firm has launched a series of packages for accountants who wanted technical training, compliance documents, and templates for their limited AFSLs. ...
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MARKET INSIGHTS
Podcast
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...
So we are now underwriting criminal scams?...