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Financial planning
ASIC has reminded AFSLs they have just three business days until obligations come into force to notify ASIC of an adviser accessing the experience pathway within 30 days,...
Funds management
ASIC has obtained interim orders from the Federal Court to freeze the assets of a registered managed fund and prevent its former director from leaving Australia. ...
Financial planning
From cyber security threats to external reviews, financial services law firm Holley Nethercote has uncovered the most notable compliance concerns for AFSLs....
Financial planning
Licensees are being reminded to take prompt action once their licence is granted as ASIC cancels the AFSL of a Sydney firm....
Financial planning
ASIC has told the Senate economics committee that it expects the requirement for superannuation trustees to check Statements of Advice won’t be “highly prescriptive” and ...
Financial planning
The corporate regulator has made a suspension and a cancellation of the AFSL of two Queensland-based firms. ...
Financial planning
Tighter legislation is being urged around anti-hawking laws to prevent ‘dodgy advisers’ from scamming consumers to switch superannuation funds. ...
Financial planning
ASIC has cancelled the AFS licence of a Sydney wealth firm, the fifth Sydney firm to see a cancellation since the start of the year....
Financial planning
The corporate regulator has issued a warning that its logo is being misused to perpetuate a social media scam promoting fake investments....
Funds management
ASIC has made an interim stop order preventing Australian Unity Funds Management from issuing or distributing interests in an income fund to retail clients after concerns...
Financial planning
ASIC has detailed to the Senate economics committee why it decided to pursue action against Dixon Advisory rather than the individual advisers involved in the wrongdoing....
Financial planning
An authorised representative of Capstone Financial Planning has been permanently banned for misappropriating more than $650,000 in client funds....
Financial planning
Former ASIC deputy chair Peter Kell is to chair the Australian Financial Complaints Authority’s consumer advisory panel....
Funds management
ASIC has suspended the AFS licence of a Melbourne fund manager responsible for six managed investment schemes....
Financial planning
A Federal Court ruling on whether licensees need to ‘take all reasonable steps’ regarding conflicted remuneration could extend to other parts of the advice process, accor...
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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...