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ASIC
Editorial
The Federal Government and ASIC insist that life/risk churn is real and that it is a serious issue. There exist many advisers in the life/risk space who believe ASIC and ...
Editorial
When ASIC announced it was appealing a Federal Court decision to approve a settlement between former Storm Financial clients and Macquarie Bank Limited, it broke new grou...
Financial planning
A former mortgage broker has pleaded guilty to 10 charges of providing false loan applications to lenders totaling almost $3.8 million....
Financial planning
It was not a formal valedictory but Financial Services Minister, Bill Shorten, used an FSC function to thank those involved in the FOFA and financial services policy chan...
Superannuation
Following SuperRatings criticism of the FSC/ASFA standard risk measure yesterday, ASFA has said it will incorporate the points made in a review of the SRM later this year...
Financial planning
ASIC has released an information sheet on limited AFSLs, explaining in further detail their definition and scope....
Editorial
The Future of Financial Advice regime will become law from 1 July, but as the Financial Services Council’s Cecilia Storniolo points out, many questions vital to the finan...
Financial planning
ASIC launches Federal Court action over moves around sale of the Premium Income Fund....
Superannuation
After ASIC refused to provide an exemption to corporate super specialists under the FOFA reforms' conflicted remuneration provisions, the Corporate Super Specialist Allia...
Financial planning
The Australian Securities and Investments Commission (ASIC) has banned former Lifestyle Group chief executive Murray John Priestley from providing financial services for ...
Life/Risk
APRA buys into lapse/churn debate but points to particular problems with respect to directly-marketed products....
Funds management
As part of its ongoing review of the sector, the Australian Securities and Investments Commission (ASIC) has released updated regulatory guidance for operators of registe...
Life/Risk
The Federal Opposition says that so far as churn exists in the life/risk sector it should be subject to a self-regulatory approach....
Financial planning
The CFP designation is gaining kudos worldwide and in Australia as demand for provable expertise and integrity grows, according to Financial Planning Association CEO Mark...
Financial planning
Merrill Lynch Equities (Australia) has been fined $120,000 by the Markets Disciplinary Panel (MDP) for not ensuring that it had in place organisational and technical reso...
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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...