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ASIC
Policy & Regulation
ASIC calls on financial services organisations to enforce good cyber-security practices with the launch of an industry-wide report focusing on cyber resilience....
Financial planning
NAB said former Victorian NAB adviser banned by ASIC left the bank in September 2013 after concerns were raised about his misconduct....
Financial planning
The Australian Securities and Investments Commission has revealed the degree to which it is scrutinising financial services transactions and the way they are reported....
Financial planning
Three financial services licensees have removed the term “independent” from their website and marketing material after ASIC found they received commissions and volume-bas...
Policy & Regulation
Life insurers will have to change the price structure of policies offered through car dealerships or face further regulatory reform, ASIC warns....
Editorial
Industry funds who have been alleging the banks offer inducements to employers to select particular default funds need to be careful what they wish for....
Financial planning
ASIC has accepted EU from Sino Investment Services and its sole director after concerns over its compliance with financial services laws....
Financial planning
Both ASIC and the Tax Practitoners Board have warned accountants of the potential high cost of not being licensed....
Superannuation
A Sydney-sider is facing up to 20 years imprisonment, after being charged with dishonestly obtaining a financial advantage by deception in relation to SMSF property inves...
Financial planning
ASIC bans former Guardian Advice insurance adviser for annually replacing clients’ insurance policies to boost commissions without considering clients’ best interests....
Financial planning
A former Sydney financial adviser was permanently banned from providing financial services after pleading guilty to three charges of dishonesty, and creating false docume...
Financial planning
Victims of the collapse of Storm Financial will not get a second chance to pursue ASIC over perceived failures to publicise concerns about the advice business....
Funds management
ASIC suspends the AFSL of Forex TG after it voluntarily requested for it to ensure it is complying with regulatory obligations following a restructure. ...
Financial planning
A property adviser who took a 10-year advance on his salary to pay off a personal debt has been banned from engaging in credit activities for four years....
Features
With the scrapping of the accountants’ exemption from 1 July this year, accountants need to make licensing decisions to continue advising on SMSFs, Malavika Santhebennur ...
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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...