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ASIC
Superannuation
ASIC’s Medcraft claims SMSFs are particularly at risk with respect to hybrid securities....
Financial planning
Some sections of the financial planning industry do not have a full understanding of what research houses do and to what extent their ratings can be relied upon. ...
Life/Risk
Former insurance adviser admits filing false applications for commission earnings. ...
Rate the raters
If a product receives a glowing review by a research house and subsequently fails, should the research house be partly responsible? The Parliamentary Joint Committee rece...
Financial planning
A US-based online brokerage has ceased providing new margin loans to its Australian clients following an investigation into the conditions of its AFSL....
Financial planning
Regulator concerned about adequacy of trader's market risk management systems ...
Financial planning
The former chairman of failed Tasmanian timber company Gunns Limited has been convicted of insider trading and fined $50,000 following an investigation by the Australian ...
Financial planning
A major law firm has warned Australian consumers against taking advice from bank financial planners....
Financial planning
Education provider confident licensees can choose quality training without regulator oversight....
Financial planning
The latest ASIC Market Supervision Report reveals practices amongst securities dealers which might make a planner blush. ...
Financial planning
A former mortgage broker and financial services representative has been permanently banned after engaging in dishonest conduct. ...
Financial planning
An Investment Trends survey conducted two months before FOFA came into effect revealed only 23 per cent of financial planners felt ready....
Financial planning
A former WealthSure financial adviser has pleaded guilty to 22 criminal charges including falsifying client withdrawal requests....
Financial planning
ASIC will continue its crackdown on the mis-selling of hybrid securities. ...
Superannuation
New research from SPAA suggests a significant gap exists with respect to accountants giving advice on SMSFs working under AFSLs ...
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MARKET INSIGHTS
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...