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ASIC
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....
Life/Risk
Alph Edwards takes a look at the recent introduction of the Insurance Contracts Amendment Bill 2010 and the critical changes it will have on the Insurance Contracts Act....
Financial planning
Fleetwood Advisory Group director Steven Fleetwood has been banned from providing financial services for five years by ASIC following an investigation into his profession...
Financial planning
ASIC has cancelled City Pacific’s Australian financial services licence as the company continues to wind up....
Financial planning
State Trustees ordered to pay $13.5 million compensation to Westpoint investors....
Financial planning
Regulatory changes to the way Australia’s security market is supervised are being discussed, with ASIC releasing a consultation paper relating to proposed changes to its ...
Editorial
Mark Halsey takes a look at recommendation two of the PJC inquiry into financial products and services and its potential implications for the industry....
Financial planning
Litigation funding group IMF Australia has been successful in receiving an exemption from ASIC from having to register several class actions as MISs, but group actions in...
Financial planning
Melbourne brokers banned by the Australian Securities and Investments Commission (ASIC) over insider trading....
Financial planning
A New South Wales financial adviser has been banned from providing financial services for 10 years for advising his SMSF clients to invest in companies he directed....
Financial planning
ASIC has launched its Swimming Between the Flags guide for retail investors but it has proven to be less prescriptive than some feared....
Financial planning
ASIC has announced the formation of a management team and an advisory panel to assist in the transfer of front line market supervision from the ASX to ASIC....
Financial planning
ASIC has granted transitional relief that will allow class action against groups including Great Southern to continue without disruption until at least the middle of next...
Financial planning
Professional Investment Services has been ordered to pay $5.9 million to Westpoint investors....
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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...