ASIC
Policy & Regulation
The Government will pass legislation to create a second deputy chairman of the Australian Securities and Investments Commission....
Financial planning
A senior Australian Securities and Investments Commission executive has confirmed the likelihood of the regulator examining financial advice provided by industry funds, b...
Policy & Regulation
The Australian Securities and Investments Commission has admitted only five firms are using its so-called regulatory sandbox, with many others utilising pre-existing alte...
Financial planning
Consumer group Choice has warned parliamentarians that professional indemnity insurance is an inadequate safeguard for financial technology firms providing financial advi...
Superannuation
The Federal Court has made orders by consent to wind up Western Australian company Superfunded, following an application from ASIC to appoint a liquidator last month....
Editorial
The Australian Securities and Investments Commission wants competition powers added to its regulatory armoury, but history suggests a need for caution on the part of the ...
Policy & Regulation
The Australian Securities and Investments Commission has released a report on the progress of their National Financial Literacy Strategy. ...
Policy & Regulation
The Royal Commission into the Banking, Superannuation and Financial Services industry will be examining the effectiveness and ability of the financial services regulators...
Policy & Regulation
The Australian Securities and Investments Commission has admitted that negative feedback from superannuation funds and lobby groups persuaded it to place the implementati...
Financial planning
The Australian Securities and Investments Commission has admitted it has never specifically investigated advice provided by industry superannuation funds....
Financial planning
The Government has been warned that changes to the Australian Securities and Investments Commission fintech sandbox may give rise to instances of unlicensed advice....
Financial planning
The Minister for Revenue and Financial Services, Kelly O’Dwyer, said the Australian Financial Complaints Authority would be ready to receive disputes by 1 November 2018. ...
Financial planning
The Australian Securities and Investments Commission has permanently banned a financial planner, Muneer Mahmood Khan, for not being of good fame and character and acting ...
Policy & Regulation
The new chairman of the Australian Securities and Investments Commission has told a Parliamentary Committee the regulator needs competition powers to help it do its job....
Policy & Regulation
ASIC has banned a Queensland-based financial adviser for seven years after finding he had used his clients’ assets for his personal benefit. ...
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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...