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ASIC
Financial planning
While the 'hard' implementation date for the Future of Financial Advice (FOFA) regulation is 1 July 2013, one financial planner has been voluntarily complying with the re...
Financial planning
The FPA remains a strong supporter of a complete ASIC-approved code of conduct, while the AFA claims an “opt-in specific” code would provide more freedom to financial pla...
Financial planning
Former Lonsec managing director Norm Graham pleads guilty to insider trading charges....
Financial planning
Kathryn Wardrobe outlines the steps for preparing your fee disclosure statement (FDS)....
Financial planning
The regulator has provided a checklist of code content that would obviate the need for complying with opt-in....
Financial planning
A new survey reveals how slowly financial services regulators are responding to politicians’ questions....
Editorial
It is now nearly a month since the Prime Minister, Julia Gillard, announced that the 2013 Federal Election would be held on 14 September – and despite her suggestions to ...
Life/Risk
A group of financial advisers has taken to social media to raise concerns that insurance comparison website Choosi is misrepresenting its services to clients and leading ...
Financial planning
Following "somewhat ambiguous" statements on grandfathering in Consultation Paper 189, the Australian Securities and Investments Commission (ASIC) is set to release an up...
Financial planning
ASIC’s market supervision report reveals the big name players subject to market disciplinary penalties....
Editorial
With scores of financial planners changing dealer groups, Mike Taylor writes that it is important for those doing the recruiting to undertake the necessary due diligence ...
Financial planning
Suncorp confirms Vero is applying a ‘selective’ approach to approving directors and officers insurance to planning groups....
Life/Risk
We can buy everything online – clothes, shoes, cars, holidays – so it is only natural that the direct life insurance channel is becoming part of the online tsunami. How t...
Financial planning
A former Hogan and Partners stockbroker has been sentenced to four years in jail following an ASIC investigation into fraudulent and deceptive conduct....
Financial planning
David Hobbs, who was described by ASIC as the ‘mastermind’ behind a $30 million Ponzi scheme, was handed the largest penalty in the regulator’s history....
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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...