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ASIC
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....
Funds management
Centuria Property Funds has come out in support of the Australian Securities and Investments Commission's (ASIC's) proposals to improve disclosure in the unlisted propert...
Financial planning
The Australian Securities and Investments Commission has released a consultation paper and draft regulatory guide for the advertising of financial products and advice....
Financial planning
The Government has announced the proposed new fee model to raise around $18 million to have the industry fund ASIC's market supervision activities....
Financial planning
The Australian Securities and Investments Commission (ASIC) has entered into enforceable undertakings (EUs) with the remaining two former directors of Trio Capital, Keith...
Financial planning
A former company director of Financial Partners Pty Ltd has been committed to stand trial on 14 charges of dishonest conduct involving investor funds, according to the Au...
Financial planning
ASIC has released a regulatory guide for contracts for difference (CFD) issuers in order to provide greater disclosure to investors....
Financial planning
Breaches around structured products and advice see ASIC impose licence conditions on JB Global....
Superannuation
The ICAA has backed a stronger regime of SMSF auditor registration as being more effective than a competency exam....
Financial planning
The Australian Securities and Investments Commission (ASIC) has turned its attention to the inner workings of the investment research industry, including research houses'...
Financial planning
Peter Joyner and Associates has lost its Australian Financial Services Licence (AFSL) for failing to maintain adequate professional indemnity (PI) insurance, among other ...
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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...