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ASIC
Financial planning
An adviser specialising in self-managed super funds has pleaded guilty to taking $250,000 from his clients by deception and making a false statement to ASIC....
Financial planning
ASIC has permanently banned Colin James Oberg from providing financial services after he withdrew over $1.55 million of client funds without permission....
Financial planning
Participants in the Australian Securities Exchange and Chi-X markets will be required to report any suspicious reporting activity under ASIC's new market integrity rules....
Superannuation
ASIC has moved against two unlicensed SMSF advice firms after finding they misled clients about their investments....
Financial planning
IOOF's offer to purchase Plan B at a 33 per cent premium was cited by the Plan B board as a major factor in its decision to unanimously recommend the takeover....
Financial planning
After taking more than $150,000 from 100 of his clients, Mayfield-based risk agent Phillip Paddison has received a permanent ban from the financial services industry, ASI...
Financial planning
Cyre Trilogy has resorted to contacting financial planners to try and force APGF to hand over the register for one of a number of trusts the pair have been battling over....
Financial planning
An unlicensed Sydney-based financial planner has been permanently banned from providing financial services by the Australian Securities and Investments Commission....
Policy & Regulation
Association of Financial Advisers looks to take facilitative approach on implementation of the Future of Financial Advice regulations....
Financial planning
It is highly unlikely that 37 investors who lost approximately $680,000 in a Gold Coast-based investment scam will ever recover their money, according to ASIC....
Editorial
Mike Taylor writes that the existence of large payments and the perception that a sales culture continues to exist in the financial planning space represents a dangerous ...
Financial planning
One of the men who led the Timbercorp Growers Group through a number of legal battles, Chris Garnaut, has written to ASIC raising issues around actions taken by the Respo...
Financial planning
ASIC has reminded the industry that advertising campaigns will be closely watched and regularly reviewed....
Financial planning
A South-Australian based financial planner has pleaded guilty to one count of deception and two counts of dishonest dealings with documents....
Financial planning
ASIC has formed an agreement with New Zealand's FMA which will allow advisers trained in Australia to have their qualifications recognised in New Zealand and vice versa....
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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...