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ASIC
Policy & Regulation
ASIC has sidestepped claims that FOFA amendments were a negative step and its enforcement approach allowed advisers a free hand....
Financial planning
A Melbourne property developer will face trial on 136 criminal charges, including getting $2.6 million in investor funds by deception....
Financial planning
New online advice platform offers full financial plans for as little as $199....
Editorial
There exists plenty of evidence that the External Dispute Resolution regime and its interplay with PI cover is proving problematic for the financial planning industry. Mi...
Financial planning
ASIC accepts enforceable undertaking from online foreign exchange broker for violating managed discretionary account (MDA) rules....
Financial planning
Payday lender Cash Stop Financial Services (Cash Stop) will refund a total of $14,000 to more than 650 consumers following an investigation by the Australian Securities a...
Financial planning
The FPA warns the Government some FOFA amendments could re-introduce commissions into the advice space and increase the risk of mis-selling. ...
Superannuation
ASIC warns property spruikers to steer clear of SMSFs or risk action over providing unlicensed product advice. ...
Financial planning
ASIC could roll-out a national adviser competency exam for $300, linking it to a register of licensed advisers. ...
Financial planning
Adviser associations support the creation of an adviser register but reject an exam as an inadequate measure of adviser competencies. ...
Financial planning
Greg Medcraft says financial planning needs to undergo further cultural change, as the sector remains one of the riskiest regulated by ASIC. ...
Financial planning
ASIC Chair Greg Medcraft says no financial services regulator can stop corporate failures without onerous compliance regimes. ...
Financial planning
ASIC will only take action on whistleblower tip-offs if it will result in a greater impact in the market. ...
Financial planning
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking (EU) from former director of AIE Fiduciary Services (AIE) Manish Babul...
Financial planning
Touted as the next frontier for accountants, Limited Australian Financial Service Licences (AFSLs) are starting to gain traction with planners too. But what makes them so...
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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...