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ASIC
Life/Risk
A Victorian insurance broker has pleaded guilty to stealing over $660,000 of clients’ money over a seven-month period....
Superannuation
SPAA has urged auditors to register early with ASIC to ensure they can undertake SMSF audits from 1 July 2013....
Financial planning
The Federal Government has reaffirmed its intention to leave intra-fund advice out of the FOFA adviser charging regime....
Editorial
While financial planners accept the reasons they are required to hold Professional Indemnity insurance, there are signs the system needs a review....
Superannuation
Will 2013 be the defining year for self-managed super funds? Bryan Ashenden's policy overview discusses the implications for advisers....
Life/Risk
ASIC report on relief decisions has revealed the regulator's steadfast attitude on PI....
Financial planning
ASIC has cancelled the financial services licence of AAA Shares, a national dealer group based in Adelaide....
Financial planning
Some financial services licensees claim parts of the regulatory guidance on scaled advice are still open to interpretation - which could potentially lead to liability iss...
Financial planning
ASIC alleges Oliver Peter Curtis made over $1 million in profit by participating in an insider trading conspiracy with the convicted tipper John Hartman....
Funds management
Macquarie Equities enters into enforceable undertaking with ASIC over compliance deficiencies....
Financial planning
The financial planning industry has welcomed ASIC's guidance on fee disclosure, though some argue it should have applied only to new clients....
Editorial
Mike Taylor writes that FOFA is already beginning to change the shape and texture of the financial planning industry – something likely to be reflected in a rash of annou...
Superannuation
The SMSF Professionals' Association of Australia (SPAA) has signed up to a UN committee that supports approximately 300,000 advisers globally....
Financial planning
Almost all financial advice was scoped to a point, so lines between scaled and complex advice are quite blurred, according to AMP director of advice Scott Machin....
Financial planning
An investigation by the Australian Securities and Investments Commission (ASIC) has led to the conviction of a former NSW-based mortgage broker....
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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...