ASIC
Financial planning
Constant flip flopping of FOFA laws have left advisers in limbo over what regulations constitute as law, Holly Nethercote believes....
Financial planning
Product manufacturers need to ensure their services and compliance procedures are up to standard, with ASIC set to take a hard-line approach in 2015, according to legal e...
Accounting
Accountants moving to become licensed have been given a generous run but are failing in high numbers when applying for a licence according to a former ASIC licensing spec...
Financial planning
Adviser sentiment has plunged to its lowest level in two years across several measures as the financial advice profession is mired in negative publicity....
Financial planning
The chairman of Australia’s corporate regulator and his staff spent $45,000 in the second half of last year on international business travel, more than 80 per cent of whi...
Financial planning
A Bundaberg-based building society has agreed to review its lending practices after ASIC raised concerns that it relied too heavily on information from a finance broker....
Superannuation
ASIC warns that legislative moves which curtail its ability to access telecommunications data warrants will risk another Trio/Astarra....
Life/Risk
QBE will ensure all future communications relating to escalated complaints and dispute resolution will have the company’s branding rather than an external legal firm’s, u...
Life/Risk
ASIC has banned a Sydney-based insurance broker from the industry for three years after he allegedly failed to pass on collected premiums to insurers. ...
Financial planning
ASIC has approved nearly 500 applications for relief from provisions of federal legislation during the past September quarter. ...
Financial planning
FPA backs FSI recommendation that ASIC be given product intervention powers. ...
Financial planning
ASIC has been told the ATO is on the right track with its ‘digital by default’ approach. ...
Financial planning
The Capital Markets Cooperative Research Centre says ASIC chairman, Greg Medcraft, is off the mark when he pushes for a national exam in the absence of evidence it will a...
Financial planning
The major industry funds groups want ASIC to receive better budgetary resourcing to regulate financial planners....
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Podcast
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...