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ASIC
Financial planning
ASIC has shared findings on the role of advice licensees in the oversight of superannuation fund performance, highlighting their approved product lists and use of researc...
Financial planning
Senator Andrew Bragg has shared his biggest takeaway from chairing the Senate’s ASIC inquiry ahead of the publication of its final report, while calling for a wider finan...
Financial planning
ASIC has accepted a court-enforceable undertaking from a former Melbourne financial adviser regarding advice on self-managed superannuation funds. ...
Financial planning
ASIC has issued a warning to advisers and their licensees after identifying deficiencies in their oversight of Choice super performance....
Financial planning
The director was pulled up last year over providing unlicensed financial product advice....
Financial planning
ASIC has permanently banned a Perth financial adviser following his convictions of fraud....
Financial planning
ASIC has cancelled the Australian financial services licence of Sydney-based Brava Capital, which was charged last October for allegedly failing to lodge financial accoun...
Financial planning
Smaller licensees should be aware that they are just as much on ASIC’s radar as their larger counterparts as increased data and technology means the regulator has greater...
Funds management
The Federal Court has made one of its first decisions on the application of financial services law regarding crypto assets for fintech company Block Earner....
Financial planning
A Western Australian financial adviser has launched a petition and called for Financial Services Minister Stephen Jones to increase the portion of the ASIC levy paid by l...
Financial planning
ASIC has issued a final reminder to unregistered financial advisers as the 16 February deadline looms and confirmed the progress made by advisers since the extension....
Financial planning
ASIC kicked off the year with its first licence cancellation and a contempt of court application as it states it is seeking to send a “clear compliance and deterrence mes...
Financial planning
ASIC chair Joseph Longo says the regulator is conducting a review into the use of artificial intelligence in financial advice as it explores how to prevent AI harm to con...
Financial planning
The actions of Sydney fraudster Melissa Caddick have resulted in heavy costs for the financial advice subsector, as the FAAA calls for costs of enforcement against unlice...
Financial planning
The regulator has provided example questions of what the next batch of candidates sitting on 26 March can expect to see, following regulatory changes to its structure. ...
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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...