ASIC
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 ...
Financial planning
Credit Union Australia (CUA) has agreed to maintain interest rate discounts for eligible home loan customers after concerns were raised about misleading advertisements. ...
Financial planning
ASIC is proposing to step away from approving training courses for financial advisers, leaving it to education providers to self-assess their own courses....
Editorial
There were some raised eyebrows when Financial Services Council chief executive John Brogden announced his organisation would be developing policy with the Industry Super...
Financial planning
Former Lionsgate representative permanently banned....
Funds management
BOQ hit by $34.5 million in refunds to 4 per cent of its customer base....
Financial planning
ASIC’s successful appeal against the $82.5 million settlement between former Storm Financial investors and Macquarie Bank is a “serious blow to direct consumer action”, a...
Financial planning
Lobby group National Seniors has called on ASIC to ramp up planner regulation as AFS Group investors face investment losses due to lapsed PI insurance policies....
Financial planning
APRA has commenced proceedings in the Australian Federal Court seeking the disqualification of former Trio Capital director David Millhouse....
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MARKET INSIGHTS
Podcast
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...