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ASIC
Editorial
While the gender balance of the executive ranks and company boards of financial services companies remain decidedly slanted, a growing number of women are breaking new gr...
Financial planning
The Bank of Queensland will have to refund approximately $12 million to around 6000 mortgage customers following a system error....
Financial planning
ASIC has accepted an enforceable undertaking (EU) from Halifax Investment Services after an investigation found deficiencies in the company’s risk management and complia...
Accounting
ASIC has handed a NSW-based accountant a six-year ban from providing financial services following an investigation....
Financial planning
A securities dealer has volunteered to wind back its operations after an ASIC review found the company had breached conditions of its Australian financial services licenc...
Superannuation
SMSFs should be responsible for their wins and losses, which is why there should be no special statutory safety net for them when it comes to fraud, according to Challeng...
Financial planning
The regulator has warned the public to be wary of an email claiming to be from Sydney Credit Union which contains reference to ASIC chairman Greg Medcraft....
Financial planning
ASIC is warning investors of a cold-calling scam that appears to be linked to a series of fraudulent businesses....
Funds management
ASIC has released a consultation paper that aligns with international standards on risk management for the managed funds sector, it said....
Life/Risk
A Sydney insurance broker has been permanently banned from providing financial services following an investigation by the Australian Securities and Investments Commission...
Editorial
“If you don’t think financial advice on life insurance is a problem area for ASIC and for industry, please think again.” ...
Editorial
With the Australian Securities and Investments Commission having fired a shot over the bows of the industry on the question of churn, the Risk Store’s Sue Laing argues th...
Life/Risk
FSC chief executive John Brogden has once again called upon the life insurance industry to heed ASIC’s warning and self-regulate on churn while it can....
ASIC Commissioner Greg Tanzer has called super fund trustees to reinforce the long-term nature of superannuation as an investment, according to ASIC Commissioner, Greg Ta...
Superannuation
ASIC has obtained orders appointing liquidators to MOGS Pty Ltd, which is associated with two Queensland-based self-managed superannuation fund (SMSF) companies....
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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...