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ASIC
Funds management
A review of disclosure to investors by the unlisted property industry has been described as “disappointing” by ASIC....
Financial planning
Queensland-based financial adviser, Thanh Quoc Tu, who misled clients, has been permanently banned from engaging in the provision of financial services by ASIC. ...
Financial planning
ASIC has cancelled eight Australian Financial Services licences, after its review of licensees who failed to lodge audited annual statements....
Financial planning
ASIC has accepted an enforceable undertaking from The Royal Bank of Scotland PLC and The Royal Bank of Scotland NV in relation to potential misconduct involving the Austr...
Financial planning
ASIC has suspended the AFSL of Brisbane-based planning business, Custom Wealth Solutions Dealer Services Pty Ltd....
Financial planning
FPA chairman, Matthew Rowe wants planners to be individually registered with ASIC as part of a fully enforceable professional code of conduct....
Superannuation
A Victorian man has been charged with fraud after he allegedly coaxed investors to refinance their self-managed super funds and/or homes to fund his property development ...
Superannuation
A new ASIC report confirms that super fees are not always what they seem....
Superannuation
Both ASIC and the ATO have signalled they are scrutinising the legitimacy of SMSF seminars...
Financial planning
The interim report of the Financial Systems Inquiry has pointed to higher educational standards for planners, a national exam regime and tougher powers for ASIC....
Financial planning
ASIC wants the financial services sector to take the lead in developing standards for the issuance of complex products....
Editorial
As scathing as the Senate Committee’s report into ASIC’s handling of the Commonwealth Financial Planning enforceable undertaking may have been, the answer does not lie in...
Financial planning
ASIC has permanently banned former Victorian finance broker, Rudy Noel Frugtniet, from engaging in credit activities....
Financial planning
A Sydney woman employed by a company trading as Premium Financial and Retirement Solutions has pleaded guilty to four charges of fraud after an ASIC investigation....
Policy & Regulation
AIOFP has called on the Federal Government to reintroduce an ownership disclosure regime and for the equal prosecution of executives who have overseen poor advice....
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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...