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ASIC
Policy & Regulation
Regulatory uncertainty is causing the financial planning industry to contract and dissuading young graduates from taking up the profession, according to FSC chief John Br...
Financial planning
ASIC releases a new guide on financial services advertising, but remains vague on Senate questions asked about Industry Super Network's 'compare the pair' campaign....
Financial planning
ASIC releases a new guide on financial services advertising, but remains vague on Senate questions asked about Industry Super Network's 'compare the pair' campaign....
Financial planning
One case of inappropriate financial advice was identified by ASIC in the six-month period to December 2011....
Financial planning
One case of inappropriate financial advice was identified by ASIC in the six-month period to December 2011....
Accounting
An ASIC investigation has seen a Melbourne accountant facing 37 charges over unregistered managed investment schemes....
Financial planning
ASIC wants retail investors to better understand the conditions and risks of hybrid securities and unsecured notes....
Financial planning
ASIC chairman Greg Medcraft has flagged surveillance around residential mortgage backed securities (RMBS) disclosure standards in 2012....
Financial planning
The financial services regulator has raised several concerns with respect to financial advice provided at the Australian Financial Services (AFS) Group, and will impose a...
Financial planning
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking from Commonwealth Financial Planning (CFP)....
Superannuation
The Federal Opposition has succeeded in having ASIC review the latest ISN television advertising campaign....
Financial planning
Former Sonray Capital Markets chief executive officer Scott Kenneth Murray has been sentenced to 5 years jail by ASIC after pleading guilty to 10 charges of fraud....
Financial planning
The Australian Securities and Investments Commission (ASIC) believes the liability for scaled online financial advice should fall on a financial planner, but a lack of sp...
Life/Risk
The way professional indemnity (PI) underwriters assess a financial planner's risk coupled with ambiguous regulatory guidelines means a fresh approach to product regulati...
Life/Risk
ASIC has permanently banned a Tasmania-based insurance agent from providing financial services after being convicted of fraud offences....
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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...