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ASIC
Policy & Regulation
The Federal Government appears to have more clearly defined the boundaries of stakeholder status for ASIC and APRA....
Financial planning
ASIC has imposed new conditions on the AFSLs of CommFP and Financial Wisdom....
Financial planning
Treasury issues ‘Statement of Expectations’ to ASIC and other Australian regulators, asking them to adhere to its broad policy framework....
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....
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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...