ASIC
Financial planning
ASIC should be given the power to immediately suspend financial planners who it suspects have engaged in misconduct according to Senate Committee....
Superannuation
ISA claims bank owned super funds ran campaign to remove ads but will continue with them after making changes required by ASIC ...
Policy & Regulation
ASIC, Treasury and the TPB have been urged to ensure the harmonisation of the standards applied to advisers....
Policy & Regulation
Questions are being asked about Industry Super Australia’s integrity after its 'Compare the Pair’ advertising campaign was labelled as potentially misleading by ASIC....
Financial planning
Class action cases being taken against financial planning groups are being hailed as “a good thing” by ASIC chair, Greg Medcraft....
Financial planning
The Senate Committee reviewing the operations of ASIC is expected to table its final report today....
Superannuation
Industry Super Australia (ISA) has voluntarily offered to change its 'Compare the Pair’ advertising campaign after concerns were raised by the Australian Securities and I...
Financial planning
Both Custom Wealth Solutions and Custom Wealth Solutions Dealer Services Pty Ltd have entered external administration. ...
Superannuation
Industry Super Australia has called on ASIC to conduct an audit of orphan commissions. ...
Financial planning
ASIC has permanently banned Southport-based former financial adviser, Grant Patrick Thompson, from providing financial services....
Financial planning
Super funds have received a deadline extension to 1 July 2015 for compliance with fee and cost disclosure requirements....
Superannuation
The Australian Securities and Investments Commission (ASIC) released guidance for superannuation funds and their trustees on information disclosure on their websites in a...
Financial planning
ASIC permanently bans adviser after finding he disbursed client funds to parties related to the adviser....
Financial planning
CommFP counters claims by ASIC that it was not informed of key elements of client compensation arrangements...
Editorial
Mike Taylor writes that if the Senate Committee inquiry reviewing the actions of ASIC has achieved nothing else, it has has identified just how reliant the regulator has ...
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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...