ASIC

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....

Financial planning

ASIC has cancelled the AFSL of Australian Performance Financial Planning, after already suspending that licence earlier this year when the firm went into administration....

Financial planning

Law firm Slater & Gordon said the changes put forward by the ASX to continuous disclosure would present "a plus" for investors, claiming much of the grey area will be rem...

Financial planning

The industry should have a clearer idea within the next two weeks of how a code of conduct will obviate the need for opt-in....

Financial planning

A legal challenge to a Financial Ombudsman Service determination regarding client losses in frozen unlisted investments has been dismissed by the Western Australian Supre...

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MARKET INSIGHTS

The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...

1 month 1 week ago

Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...

2 months ago

It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...

2 months 1 week ago

ASIC has canceled the AFSL of Sydney-based asset consultant and research firm....

1 week 4 days ago

The Reserve Bank of Australia has announced its latest interest rate decision following this week's monetary policy meeting....

2 weeks 6 days ago

A former financial adviser who stole $4.4 million from his family and friends to feed gambling debts has been permanently banned by ASIC....

3 weeks 3 days ago
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