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ASIC
Policy & Regulation
The Government’s decision to scrap industry-run Code Monitoring Authorities will save the major planner bodies millions in set-up and running costs....
Policy & Regulation
The Australian Securities and Investments Commission is due to appear before the House Economics Committee this Wednesday to discuss how it is implementing the Hayne Roya...
Superannuation
The Australian Securities and Investments Commission has identified eight red flags which would make it ‘extremely unlikely’ for an investor to gain any advantage from us...
Policy & Regulation
Australian Securities and Investments Commission chairman, James Shipton, has pointed to regulatory concerns about the consolidation of investment funds and the consequen...
Financial planning
The Australian Securities and Investments Commission has banned Beenleigh-based adviser, Ian Haisman, from providing financial services for seven years....
Financial planning
A little talked about Australian Securities and Investments Commission project around the adviser best interests duty has been identified as substantially increasing red ...
Financial planning
Max Kiattisak Eung has been sentenced to jail after pleading guilty to obtaining financial advantage by deception of $166,500....
Life/Risk
CommInsure has been charged by the Australian Securities and Investments Commission for offering to sell life insurance products via non-compliant unsolicited phone calls...
Features
Laura Dew explores how the managed account space could change in the future as the industry awaits the conclusion of an ASIC review of the sector....
Policy & Regulation
The Australian Securities and Investments Commission has urged a ‘sense of urgency’ be applied by companies to their non-financial risks, including compliance risk. ...
Policy & Regulation
The Federal Government is consulting on draft regulations and legislation to remove the Corporations Act exemption for funeral insurance policies....
Financial planning
The Association of Financial Advisers has called for the release of key consultation submissions and for greater clarity around the detail of the Government’s legislation...
Financial planning
ASIC said Kyle Marshall did not understanding the meaning of personal advice and did not act in his clients’ best interest....
Financial planning
The Association of Financial Advisers has recommended a limited advisory role for the Tax Practitioners Board in the advice space while, at the same time, pointing to maj...
Policy & Regulation
A key document tabled after questioning by a Parliamentary Committee has revealed who the major beneficiaries were of the millions of dollars extracted by the Australian ...
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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?...