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ASIC
Financial planning
Business of securities adviser subject to an enforceable undertaking has licence cancelled....
Financial planning
Commsec has been fined $55,000 after an erroneous order for a telecommunications product skewed the market price....
Editorial
Based on recent media coverage, it would be easy to believe that the Abbott Government was quite recklessly setting about dismantling all the consumer protections contain...
Policy & Regulation
The Assistant Treasurer, Senator Arthur Sinodinos, says ASIC will monitor FOFA changes to ensure they are meeting their objectives....
Financial planning
The corporate regulator welcomes FOS’ focus on timeliness, but makes no mention of long-term structural change....
Financial planning
A new system of registering business names has rendered white labelling almost impossible, a financial services legal firm believes....
Financial planning
ASIC warns on offshore lending scam which has impacted some Australian consumers....
Funds management
Regulations for managed investment schemes (MIS) may be aligned with that of companies, according to a discussion paper released by a government advisory body....
Editorial
Mike Taylor writes that ASIC chairman Greg Medcraft has laid out how the regulator sees the future of financial planner education – and the challenge will be how the indu...
Financial planning
An ex-financial adviser who earned more than $200,000 by falsifying insurance documents has been convicted of dishonest conduct....
Financial planning
The use of electronic disclosure documents is permitted under law, with ASIC releasing guidance regarding their online distribution. ...
Financial planning
ASIC warns that disclaimers attaching to financial services advertising claims must be displayed prominently....
Financial planning
Money Management breakfast will see Kell and Bushby traverse the future of financial services regulation....
Policy & Regulation
Financial planners unlikely to face legal action on FOFA amendment-related advice, with courts recognising FOFA uncertainty....
Financial planning
FSC chief executive John Brogden says the former Government too often ceded authority to the financial services regulators and boundaries need to be set. ...
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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...