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ASIC
Financial planning
ASIC Chairman Greg Medcraft has announced an internal taskforce which will look at the failure of Banksia....
Life/Risk
ASIC Commissioner Peter Kell told Money Management there was enough life policy churning in the financial advice industry for the regulator to be concerned about the issu...
Policy & Regulation
ASIC is planning to release further information which would complement consultation papers regarding issues such as recommending products outside of an APL, fee disclosur...
People & Products
Professional Investment Services chief executive Peter Walther has outlined a plan to rid the group of the legacy compliance risk issues that dogged it under previous man...
Superannuation
The complexity of the self-managed superannuation fund (SMSF) space is rapidly outpacing SMSF auditors, according to Chan and Naylor director of financial planning David ...
Financial planning
ASIC Commissioner Peter Kell has told Money Management that while introducing licensee-specific codes of conduct is an option, it could be a costly and complicated proces...
Financial planning
A PIS adviser has been banned for three years for failing to comply with financial services laws....
Financial planning
Professional codes of conduct should be the responsibility of financial services licensees rather than industry associations in order to be fairer to consumers, according...
Financial planning
AFA signals it will be working to align its Principles of Practice with the outline contained in ASIC consultation paper....
Financial planning
The FPA says its upgraded professional code of conduct will be ready to go as soon as ASIC has finalised the new requirements....
Financial planning
The Financial Planning Association has announced changes to its Code of Professional Practice in order to bring it in line with the Australian Securities and Investment C...
Financial planning
ASIC has released a consultation paper to determine how a professional code of conduct will obviate the need for a financial adviser to comply with opt-in provisions cont...
Superannuation
The Government has opted for only limited impacts on superannuation in its MYEFO approach, but has increased the SMSF levy....
Financial planning
ASIC report reinforces importance of EDR process despite debt recovery processes against clients....
Financial planning
With major legislative change set to occur, the role software, technology and new media are playing in financial planning today is unprecedented....
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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...