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ASIC
Funds management
ASIC has issued a stop order on Product Disclosure Statements issued by Theta Asset Management due to concerns regarding inadequate disclosure of risks....
Accounting
Unlicensed accountants are being asked to ‘please explain’ by ASIC as they may be in breach of financial services laws, a law firm said....
Financial planning
A financial adviser who was untruthful in the information provided in support of obtaining his own Australian Financial Services License has paid a high price....
Financial planning
The Australian Securities and Investments Commission has outlined to a Parliamentary Committee what it thinks life/risk advisers actually earn via the statement of advice...
Financial planning
The Australian Securities and Investments Commission has confirmed it is probing the quality of advice provided around self managed superannuation funds, including with r...
Financial planning
The Australian Securities and Investments Commission has told a Parliamentary committee it has seen little improvement in the delivery of non-compliant life insurance adv...
Life/Risk
The Australian Securities and Investments Commission has revealed that it and the Australian Prudential Regulation Authority are working towards having the life insuranc...
Editorial
Mike Taylor writes that it would be folly to remove the Australian Securities and Investments Commission from the Australian Public Service....
Policy & Regulation
The Australian Prudential Regulation Authority has appointed the former chair of APRA and the ACCC to the special panel appointed to probe the Commonwealth Bank....
Financial planning
A Government-appointed panel has backed giving the Australian Securities and Investments Commission greater powers to ban miscreant financial services executives, but no...
Superannuation
Subscale super funds make up 30 per cent of modern award listings and the weakest performing fund returned 2.7 per cent over 10 years, according to the FSC....
Financial planning
The Administrative Appeals Tribunal (AAT) has affirmed ASIC’s licence cancellation for Mark Power and associated companies....
Financial planning
The Australian Securities and Investments Commission has disqualified New South Wales-based SMSF auditor, Kathleen Whittle....
Policy & Regulation
The Federal Government has adopted a ‘taking action now’ mantra in dealing with the major banks....
Financial planning
Australian Securities and Investments Commission staff are likely to leave their public service salaries behind to embrace financial services market rates....
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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...