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ASIC
Financial planning
A Parliamentary Committee has been told that just because some “sharp” financial planning practices don’t breach the law doesn’t make them right....
Financial planning
ASIC has permanently banned a former authorised representative from ANZ's RI Advice Group as part of its Wealth Management Project....
Policy & Regulation
Peak super body, the AIST is disappointed ASIC’s funding model may mean funds would now have to pay for items that was previously not leviable, while ASIC has called it a...
Financial planning
The new industry funding model for the Australian Securities and Investments Commissions has passed through the Senate....
Policy & Regulation
The Australian Securities and Investments Commission has taken the unusual step of seeking the re-registration of a company as it continues to comb through the rubble of ...
Financial planning
An Australian Securities and Investments Commission report has confirmed that most fund managers don’t actually consumer-test their products before taking them to market....
Financial planning
The Australian Securities and Investments Commission chairman, Greg Medcraft has pointed to financial services technology as being a disruptor of vertical integration....
Financial planning
Macquarie Equities Limited has paid $24.7 million in compensation to 263 clients since it started its remediation program in 2014....
Funds management
Synergy Financial Markets has paid over $10,000 after ASIC found it had engaged in misleading advertising on its website....
Editorial
Mike Taylor writes that serious questions are being asked about whether the Government’s proposed enhancements to the AFSL breach reporting regime will be worth the incre...
Financial planning
The Australian Securities and Investments Commission has cancelled the license of Sydney-based company, Investment Advisers Alliance Pty Ltd....
Financial planning
The Australian Securities and Investments Commission has signalled it wants its intervention power extended to cover problematic remuneration arrangements....
Financial planning
Advice practices that implement the new professional and ethical standards and improve financial advice standards could eventually have to pay less levy to fund ASIC. ...
Financial planning
The Australian Securities and Investments Commission has banned a Perth-based responsible executive from providing financial services for three years....
Life/Risk
The Australian Securities and Investments Commission has warned life/risk advisers not to try to beat the commissions and clawback implementation....
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MARKET INSIGHTS
Podcast
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...
So we are now underwriting criminal scams?...