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ASIC
Financial planning
Many financial advisers are talking the talk when it comes to estate planning, but will they walk the walk? Tim Stewart reports that estate planning needs to be more than...
Financial planning
Some of ASIC's proposed legal obligations for a custodian are unworkable, according King & Wood Mallesons director Damien Richard. ...
Financial planning
ASIC Commissioner Peter Kell said dealer group AAA Financial Intelligence had an “appalling record” when it comes to ensuring the advice provided was fair and honest....
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...
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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...