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ASIC
Financial planning
Learn about the pros and cons of owning AFSL and weighs them up against becoming an authorised representative of a larger licensee...
Editorial
The adviser’s best interest duty leaves a question mark hanging over what constitutes “reasonable” advice, Merton Miles writes....
Life/Risk
Both APRA and ASIC express concerns at failure to learn lessons in life/risk sector....
Superannuation
One of Australia’s regulators fears self-managed super funds could expose investors to inappropriate borrowing strategies, but doesn’t see a role for itself in guarding t...
Financial planning
Listed entities should prioritise continuous disclosure obligations over any other stakeholder engagement goals, ASIC Commissioner John Price said....
Financial planning
Class action specialists, Shine Lawyers, are investigating claims against Queensland based financial advice firm FTS....
Financial planning
Credit Suisse has paid a fine of $88,400 for a costly trading error that was not properly reported. ...
Financial planning
ASIC has cancelled the AFSLs of seven licensees who did not have adequate professional indemnity insurance....
Financial planning
ASIC’s enforcement report for the first six months of this year appears to have skirted the issues that made the biggest headlines....
Financial planning
Despite the success of Government initiatives it will take a generation to bring about significant change in Australians’ financial literacy, Parliamentary secretary to t...
Financial planning
The Senate inquiry of ASIC into its handling of the Commonwealth Bank is so negative it has tarnished trust in advisers, according to John Brogden....
Financial planning
ASIC has accepted an enforceable undertaking (EU) from PGW Financial Services....
Financial planning
The Chief Ombudsman has sought to refute claims that FOS is unaccountable and in urgent need of review....
Financial planning
PIS has completed a monitoring program with ASIC stating the group had made significant improvements in compliance and audit functions...
Funds management
ASIC is seeking industry feedback to proposed changes to the rules that require compulsory trade reporting of OTC derivatives....
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MARKET INSIGHTS
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...