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ASIC
Financial planning
ASIC has handed out its second enforceable undertaking this month to a former Storm Financial adviser....
Financial planning
The financial services industry has generally welcomed the Federal Government's announcement of market integrity rules covering high frequency trading and dark pools....
Financial planning
The Federal Government has moved to review the financial market licensing regime in the context of not only high frequency trading but other changes in the financial serv...
Financial planning
ASIC action against Queensland-based SMSF advice companies results in measures impacting US-based companies....
Financial planning
Whilst huge winds of change batter the investment and regulatory environment, a fundamental shift in the way consumers interact with technology is altering the nature of ...
Financial planning
The best interests duty appears to have regulatory deficiencies which could be described as the elephants in the room, according to David O’Reilly....
Superannuation
SMSF appetite for property continues to grow, but the lack of any minimum professional standards for property investment advisers requires serious consideration from the ...
Financial planning
Former stockbroker Jonathan Kur has been charged with dishonest use of his position and fraudulent activity involving more than $7 million....
Financial planning
ASIC has upgraded its guidance on financial services advertising and warned of potentially stronger penalties for breaches....
Editorial
With ASIC's Peter Kell pointing to a level of life insurance policy churning to warrant regulatory concern, it is time for a clear definition of 'churn'....
Financial planning
ASIC has proposed the tightening of rules for some platform operators and responsible entities of managed investment schemes....
Accounting
ASIC has released draft SMSF auditor standards, based on 2008 standards released by the Joint Accounting Bodies....
Financial planning
There are terms hidden in the upcoming Future of Financial Advice (FOFA) legislation that every financial planner must be familiar with. ...
Funds management
The Australian Securities and Investments Commission (ASIC) has released an updated investor guide on unlisted property schemes, urging investors to seek financial advice...
Life/Risk
APRA expresses concern about unproven concepts involved in direct life sales....
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MARKET INSIGHTS
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...