ASIC

Financial planning

Opportunities and challenges for financial planners in 2014

Milana Pokrajac looks at some of the challenges and opportunities financial planners can expect over the next 12 months. ...

Financial planning

Nine things advisers should be on the look out for in 2014

Centrepoint’s Peter Kelly outlines some of the issues that will require the attention of the advice profession – and their possible impacts – in 2014....

Financial planning

Systemic issues still haunt the industry

FOS has identified planner conduct and inappropriate claims handling as possible systemic issues during the December 2013 quarter....

Financial planning

ASIC to keep monitoring complex product advice

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 makes 700 separate enforcement actions for 2013

ASIC releases enforcement report for second half of 2013 reporting 340 enforcement actions....

Superannuation

SMSF auditors on deadline to lodge annual statements

ASIC has reminded SMSF auditors that, from 31 January, they must lodge their annual SMSF auditor statements. ...

Financial planning

ASIC accepts EU from BNP Paribas

BNP Paribas will make a voluntary contribution of $1 million to financial literacy projects after its EU was accepted by the regulator....

Accounting

Melbourne accountant pleads guilty to acting without licence

South Yarra accountant admits to operating unregistered managed investment schemes and acting without financial services licence....

Financial planning

Call for standarised, regulated SOA document

Former ASIC officer turned consultant calls for standardised, regulated SOA document....

Financial planning

Melbourne broker banned for fraud

ASIC has banned broker for three years after submission of false applications...

Financial planning

Mortgage broker banned from credit activities

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 takes swipe at Labor MP

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....