ASIC
People & Products
The Australian Securities and Investments Commission has brought in an expert from Hong Kong to review the regime attaching to RG97....
Financial planning
ASIC has banned South Australian financial adviser Ramana Rao from providing financial services for three years....
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 ...
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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...