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ASIC
Financial planning
FOS has identified planner conduct and inappropriate claims handling as possible systemic issues during the December 2013 quarter....
Financial planning
ASIC has identified financial advice as one of the most critical factors in protecting consumers and will continue to review the advice provided on complex products. ...
Financial planning
ASIC releases enforcement report for second half of 2013 reporting 340 enforcement actions....
Superannuation
ASIC has reminded SMSF auditors that, from 31 January, they must lodge their annual SMSF auditor statements. ...
Financial planning
BNP Paribas will make a voluntary contribution of $1 million to financial literacy projects after its EU was accepted by the regulator....
Accounting
South Yarra accountant admits to operating unregistered managed investment schemes and acting without financial services licence....
Financial planning
Former ASIC officer turned consultant calls for standardised, regulated SOA document....
Financial planning
ASIC has banned broker for three years after submission of false applications...
Financial planning
The Australian Securities and Investments Commission has banned former Sydney mortgage broker and real estate agent Hyuk Hwang from engaging in credit activities for thre...
Financial planning
Trio-linked adviser Ross Tarrant has appealed his seven-year ban from the industry, also criticising Labor MP Steve Jones for political point-scoring over the issue....
Financial planning
Representative body for mortgage brokers claims members not involved in cases of fraud submitted to Senate review of ASIC....
Financial planning
A NSW Central Coast businessman has been charged with fraud after misappropriating $260,000 in investor funds. ...
Financial planning
The Australian Securities and Investment Commission has raised concerns with TAL Direct over its advertising of its funeral insurance....
Financial planning
Senate committee tasked with working through more than 400 submissions in review of ASIC....
Financial planning
A banned Trio-linked adviser has accused ASIC of misrepresenting his wrongdoings, also pointing to political ties which he claims may have affected legal proceedings....
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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...