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ASIC
Funds management
The decision to invest in ETFs is being driven by investors at present as advisers still come to terms with the growing product sector....
Financial planning
ASIC began proceedings in the Victorian Federal Court against failed land banking company Midland HWY, for appointing Hall Chadwick as administrators without notifying in...
Top 100
Moves to assess the landscape of financial planning should be lauded but, as Jason Spits writes, there needs to be more clarity as to who should populate that landscape....
Financial planning
Financial services lawyer, Peter Bobbin, warns that ASIC has neither the culture nor the expertise to handle a product intervention power....
Financial planning
A Queensland couple are facing civil action over allegations that they have been providing financial services without and AFSL....
Financial planning
The corporate regulator has ordered people under investigation to pay its investigation costs and expenses if they are convicted of the offence, or face a penalty....
Policy & Regulation
ASIC has issued new guidance giving financial services firms greater scope to use digital disclosure....
Accounting
ASIC has banned a Sydney accountant from managing corporations for three years but allowed him to continue as director of his accounting practice....
Policy & Regulation
ASIC to have its capabilities reviewed by expert panel....
Superannuation
ASIC’s comments on the preferred minimum of $200,000 for SMSFs in its new guidance papers has been criticised by lawyers stating the regulator has been deeply ill-informe...
Financial planning
NAB said it would compensate almost 62,000 customers after a review found errors and processes on its Navigator platform dating back to 2001, before NAB acquired Aviva in...
Policy & Regulation
The Federal Government will undertake a review of ASIC looking into how the regulator uses its current resources and staff....
Superannuation
ASIC has cast doubt around the viability and purpose of SMSFs set up with less than $200,000, stating it would examine advice related to their creation....
Superannuation
Omniwealth has paid a $10,200 penalty after ASIC issued an infringement notice that had concerns its website had potentially misleading claims....
Financial planning
Misleading and dishonest conduct has landed two Perth-based finance brokers in hot water after investigations by the Australian Securities and Investments Commission resu...
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Podcast
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...