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ASIC
Life/Risk
The Australian Securities and Investments Commission has raised the possibility that some of the direct sales models being used by life insurance companies could breach t...
Financial planning
A Government-backed Australian Securities and Investments Commission consultation paper has revealed the degree to which planners and planning firms will pay more for lic...
Accounting
The Australian Securities and Investments Commission has released online guidance and information sheets intended to help limited Australian financial services licensees ...
Superannuation
The Australian Securities and Investments Commission obtained interim injunctions from the Federal Court against Superfunded and its sole director and shareholder....
Financial planning
The Australian Securities and Investments Commission has cancelled Financial Stewards’ AFSL, following the company’s failure to cooperate with surveillance by the regulat...
Financial planning
Carwardine Financial Services has engaged an independent consultant to overhaul its compliance processes....
Financial planning
ASIC has appointed a provisional liquidator to five companies within the Benchmark Private Wealth Group on orders from the Supreme Court of Queensland....
Policy & Regulation
The Australian Securities and Investments Commission wants to see the Bank Executive Accountability Regime extended to insurance companies and then an extension of its co...
Funds management
Australia and New Zealand Banking Group and National Australia Bank have both entered enforceable undertakings with ASIC, following a Federal Court declaration against th...
Financial planning
CHOICE and the Consumer Action Law Centre has called for the involvement of ASIC and the extension of the Bank Executive Accountability Regime to planning executives....
Financial planning
The Australian Securities and Investments Commission has sought final orders in continued Federal Court proceedings against companies associated with binary trading....
Financial planning
The Australian Securities and Investments Commission has admitted it cannot regulate the number of products on an APL or which products advisers choose....
Superannuation
Industry Super Australia has continued its attack on the Federal Government’s superannuation reforms, yesterday saying that the proposed legislation will fail to prevent ...
Financial planning
A Queensland planner has been sentenced to 10 years imprisonment by the Brisbane District Court on 25 separate charges brought by the Commonwealth Director of Public Pros...
Financial planning
ASIC has confirmed restricted use of the term ‘independently-owned’ and ‘non-aligned’ in its updated Regulatory Guidance 175....
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MARKET INSIGHTS
Podcast
So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...