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ASIC
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....
Financial planning
The Australian Securities and Investments Commission chairman, Greg Medcraft has reinforced the need for the regulator to have more powers to ban miscreant financial serv...
Life/Risk
Behavioural economics sits at the heart of the Australian Securities and Investments Commission’s new example statement of advice for life/risk advisers....
Financial planning
The Australian Securities and Investments Commission has fixed a regulatory anomaly which was unjustifiably hindering full AFSL-holders in delivering tax-exempt advice....
Financial planning
ASIC has cancelled the financial services licence of Gallop International Group, formerly known as Weather Pro Exchange....
Policy & Regulation
The industry superannuation funds want the breach reporting regime to be toughened claiming bank licensees are exploiting deficiencies and still paying commissions to adv...
Funds management
The collapse of MFS Group and the Premium Income Fund had its corollary in the Queensland Supreme Court today with the five most senior executives suffering long disquali...
Policy & Regulation
The government has reappointed Cathie Armour as a full-time member of the Australian Securities and Investments Commission....
Policy & Regulation
The Government has been warned against allowing the new licensee self-reporting regime to result in people being named and shamed without adequate proof....
Financial planning
The major banks are facing a compensation bill well over $200 million as the Australian Securities and Investments Commission delves deeper into the “fees for no service”...
Financial planning
ASIC has accepted an enforceable undertaking from Macquarie Bank after the bank was found to have inadequate systems and controls to address inappropriate conduct in its ...
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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...