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Editorial
If auditors are, indeed, the eyes and ears of the regulators in the SMSF sector, Liz Westover writes that the new auditor registration regime will prove to be crucial as ...
Financial planning
The industry's existing codes of conduct will require 'pretty radical surgery' before ASIC is likely to deem them sufficient, says Mallesons senior associate Michael Math...
Policy & Regulation
The financial services industry may be obliged to dig deeper to fund the implementation of the Government's Future of Financial Advice changes as well as its Stronger Sup...
Life/Risk
Following consultation with ASIC, Elders Insurance has repaid customers around $5.3 million as part of a program to rectify underpayments on motor vehicle insurance claim...
Financial planning
Financial Services Council sponsored research accuses unions and financial planners of "gaming" the default superannuation fund regime....
Financial planning
A former senior client advisor with Bell Potter Securities Limited, Glenn Russell Evans, has been charged with 15 counts of fraudulent conduct involving more than $1.06 m...
Financial planning
Company collapses have risen by 117 per cent to 1,123, reflecting a continuing 'lag effect' from the economic woes of the global financial crisis, according to research b...
Editorial
Some of the players might not approve of the way in which the FOFA bills will ultimately be shaped but, as Mike Taylor reports, a Money Management roundtable has conclude...
Financial planning
ASIC has banned a former Commonwealth Financial Planning adviser from providing financial services for five years, making it three former Commonwealth advisers banned in ...
Financial planning
ASIC is undertaking a compliance program to assess the information lodged by Australian credit licensees (ACLs) in their annual compliance certificates....
Policy & Regulation
The Financial Services Council and Association of Financial Advisers have joined together to provide a forum looking at life in a post-FOFA financial planning world....
Financial planning
ASIC has accepted a permanent undertaking from an Adelaide-based financial adviser to permanently refrain from providing financial services....
Financial planning
Nomura Australia has paid a $30,000 penalty to ASIC after receiving a market infringement penalty from ASIC's Markets Disciplinary Panel....
Funds management
iShares has announced their support of ASIC's latest report on the regulation of ETFs in Australia and international principles impacting ETFs in Australia....
Editorial
Amid the furore over a document purporting to be an agreement between the Financial Planning Association and the Industry Super Network, Money Management's Mike Taylor pu...
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MARKET INSIGHTS
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...