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ASIC
Life/Risk
ASIC has called for various improvements in CommInsure’s claims handling process in its report on its investigation into the firm....
Financial planning
ASIC has provided updated guidance on FOFA, best interest duty, and record keeping obligations for licensees and authorised representatives in its RG175....
Financial planning
ASIC has permanently banned a former Anne Street Partners Queensland financial planner from providing financial services for dishonest conduct....
Financial planning
ASIC has cancelled the AFSL of liquidated firm, Aquaint Capital, the responsible entity for Aquaint Income Fund....
Financial planning
Breach reporting standards by the Big Four banks and AMP have been found wanting with an ASIC report finding institutions were failing to report adviser breaches on time....
Financial planning
ASIC has commenced proceedings against Wealth and Risk Management (WRM), and related companies Yes FP and Jeca....
Policy & Regulation
The Australian Securities and Investments Commission’s review of the mortgage broking industry suggests it is facing its own FOFA moment, particularly where commissions a...
Life/Risk
The corporate regulator would soon request life insurers to provide them with claims outcome data as part of their 2017 life insurance industry review, Peter Kell said....
Financial planning
The Australian Securities and Investments Commission has launched a financial literacy resource to build the financial capacity of Indigenous students....
News
ASIC will soon request claims outcome data from life insurers as part of their 2017 industry review, according to Peter Kell, Deputy Chair of ASIC. ...
Life/Risk
ASIC has examined 60,000 documents as part of its CommInsure investigation and will deliver its findings by the end of the month....
Life/Risk
The Australian Securities and Investments Commission wants more power to deal directly with insurance claims handling issues....
Financial planning
ASIC has accepted enforceable undertakings from Westpac and ANZ to address inadequacies with their wholesale FX businesses....
Policy & Regulation
The Australian Securities and Investments Commission wants more evidence before allowing responsible entities to directly negotiate fees with individual retail investors...
Financial planning
ASIC has permanently banned former Morgan Stanley adviser, Andrew Panayiotides, from providing financial services....
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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...