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ASIC
Financial planning
Former staffer accuses ASIC of burying complaints and only acting when complaints reach ‘tsunami level’....
Funds management
ASIC initiates civil proceedings against GE Money alleging misleading and deceptive conduct over credit limits. ...
Financial planning
ASIC has banned a Queensland-based businessman for five years following his involvement in the deceptive marketing and selling of share trading software....
Financial planning
FPA chief executive calls on CFP members to actively promote designation. ...
Financial planning
ASIC is aware of the payment of sign-on bonuses but has yet to signal any specific action. ...
Financial planning
AFA claims FOS ground rules provide inherent imbalance against advisers....
Financial planning
A dealer group head says he lost three practices to a cheque-book in the last 18 months, but all three have expressed a wish to come back....
Editorial
ASIC arguably chose a poor strategy when it sought to reassure consumers about its inaction on matters relating to the Reserve Bank of Australia-related companies, Secure...
Financial planning
South Australian finance broker and a Victorian auditor removed from industry after compliance failures....
Financial planning
ASIC warns of best interest duty breaches where dealer groups take a ‘cookie-cutter’ approach....
Life/Risk
ASIC deputy chairman Peter Kell has used his speech at the AFA national conference to announce major surveillance of retail advice with respect to life insurance. ...
Funds management
An accountant involved in the collapse of Dollarforce Financial Services has been sentenced after being charged with making false and misleading statements....
Funds management
Regulator removes five timber schemes after manager struggles with tough year....
Financial planning
ASIC chairman Greg Medcraft defends ASIC’s record, claiming the media misunderstands the regulator’s relationship with the AFP....
Financial planning
Existing levels of adviser education should be considered a pathway to degree level qualification....
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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...