ASIC
Financial planning
ASIC has increased the disclosure requirements for unlisted mortgage funds to improve investor awareness of the risks involved....
Policy & Regulation
Government delivers additional funding to ASIC for FOFA and a range of other financial services changes....
Life/Risk
A Menai-based insurance broking firm has had its licence suspended for seven months following surveillance conducted by the ASIC....
Financial planning
The same regulator critical of financial planner responses in a shadow shopping exercise has turned in a 100 per cent fail in responding to parliamentary questions on tim...
Financial planning
The financial services regulator is continuing its review of financial requirements for product issuers in various sectors of the industry, with a number of consultation ...
Financial planning
Financial services players have taken aim at competition concerns and potential conflicts in institutionally owned investment platforms....
Financial planning
The Government should take a long-term economic view in its efforts to return the budget to surplus amid major issues concerning market forces, household debt and uncerta...
Financial planning
The minimum training requirements for financial planners providing advice on carbon financial products has been finalised by ASIC....
Financial planning
Once the dust has settled on the current round of industry reforms, the dealer group as we know it may cease to exist, according to senior financial financial advice figu...
Financial planning
ASIC has rapped 21 financial services licensees across the knuckles for incorrectly marketing themselves as 'independent'....
Financial planning
Participants in the Financial Planning Association's shadow shopper workshops have called for better clarity from the regulator, as ASIC commissioner Peter Kell elaborate...
Financial planning
Recent changes to the laws governing platforms, such as an increase to the net tangible asset requirement, will make it harder for dealer groups to bring platform service...
Financial planning
Compliant industry codes of conduct deemed to obviate the need to comply with opt-in requirements will have to meet a hefty set of criteria, according to ASIC commissione...
Financial planning
ASIC has permanently banned a former Commonwealth Financial Planning adviser after he was found to have forged the signatures of four of his clients....
Financial planning
The Financial Planning Association has welcomed the announcement by Assistant Treasurer David Bradbury exempting financial planners from the taxation services regime unti...
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Podcast
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...