ASIC
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....
Editorial
Few people in the financial planning industry will have failed to notice, via draft legislation released by the Treasury, that the Federal Government has delivered what w...
Financial planning
Two bodies will soon regulate financial planners - a serious concern to the FPA....
Financial planning
ASIC’s investigation into HFT and dark pools reveals only a few problems but identifies breaches....
Financial planning
Storm investors who will receive the $82.5 million settlement from Macquarie Bank will have to acknowledge that the bank did nothing wrong....
Financial planning
New research reveals high degree of indecision on codes of conduct and opt-in....
Editorial
The last year has not been kind to the Australian margin lending market, with further declines in the number of active investors. But a potential rally in the equities ma...
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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...