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ASIC
Financial planning
Intra-fund advice will not be excluded from ASIC's shadow shopping exercise targeting retirement advice, which the regulator has announced will be revived again this year...
Superannuation
Retirement financial advice will soon be under scrutiny by ASIC, with the announcement that the regulator will resume its shadow shopping survey this year....
Financial planning
ASIC has signalled it will be looking closely at fast-growing financial planning businesses....
Funds management
In another win for Westpoint investors, the Australian Securities and Investments Commission (ASIC) has settled a compensation suit with KPMG and certain Westpoint Group ...
Financial planning
ASIC has announced that it will support businesses in flood-affected areas, despite the fact that the regulator’s Brisbane office has been closed due to the floodin...
Financial planning
ASIC accepted an enforceable undertaking from Professional Investment Services in December due to concerns over the firm’s compliance with its legal obligations....
Financial planning
A joint move by ASIC and APRA to suspend Trio Capital (formerly Astarra Capital) as trustee of four superannuation funds and a pooled super trust generated significant co...
Financial planning
The entry-level requirements for the provision of financial advice may soon be lifted from their very low base, with the corporate regulator undertaking consultation with...
Financial planning
ASIC agrees to use annual report to detail its use of coercive powers....
Financial planning
Dr Pamela Hanrahan has been confirmed as the Australian Securities and Investments Commission's (ASIC's) newly appointed regional commissioner for Queensland....
Financial planning
An education and research fund has slipped though the cracks in the imminent transition of market supervision from the Australian Securities Exchange (ASX) to the Austral...
Financial planning
The corporate regulator has issued a warning to both listed and unlisted companies on creative and inadequate financial reports in the lead up to the reporting season, wi...
Financial planning
ASIC has issued a reminder to all margin lending providers that they need to have, or applied for, a margin lending authorisation by 30 June if they wish to continue prov...
Financial planning
Delegates at Synchron's annual conference in New Zealand have entered into a spirited debate over the extent of ASIC's powers....
Financial planning
ASIC has released regulatory guidance on its approach to the licensing and regulation of clearing and settlement facilities....
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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...