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....

Financial planning

A former director of a South Australian insurance broker has appeared in the Adelaide Magistrates Court on 88 charges of dishonesty following an investigation by ASIC....

Rate the raters

The results of the first part of Money Management’s annual Rate the Raters survey are in and Lonsec seems to have come out on top yet again, albeit by a smaller margin. B...

Rate the raters

Despite announcing it would close its doors in Australia in October, S&P hasn’t dropped the ball, bringing in consistent results from respondents in Money Management’s Ra...

Financial planning

ASIC will soon hold discussions with the financial planning industry about the potential for setting up a self-regulatory organisation which would develop and administer ...

Editorial

With FOFA having passed both the House of Representatives and the Senate, all eyes in the financial services industry will now be turned to ASIC and the consequent shape ...

Funds management

Lonsec has yet again come out on top in Money Management's 2012 Rate the Raters survey, but other researchers have been closing in on the firm over the past 12 months....

Superannuation

The SMSF Professionals' Association of Australia (SPAA) has hit back at calls for self-managed super funds to pay more towards the SuperStream levy....

Editorial

Given the end of the 2011/12 financial year also represents the start of a 12 to 14-month countdown to the next federal election, the time available for Bill Shorten to m...

Superannuation

David Barrett briefly addresses two major challenges that loom for financial advisers: providing the strategic advice associated with a potential recommendation for a sup...

Financial planning

ASIC has obtained declarations and orders in the South Australian Registry of the Federal Court against Australia AFT Finance Markets....

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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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