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ASIC
Financial planning
ASIC has released the indicative levy for advisers in 2022–23 in its latest cost recovery implementation statement....
Financial planning
A relevant provider that used an inaccurate SOA to induce a client to switch superannuation funds is the subject of the Financial Services and Credit Panel’s latest compl...
Policy & Regulation
The government is seeking views on its proposed position for the implementation of an internationally-aligned climate disclosure, following its discovery consultation las...
Financial planning
The government has made 10 recommendations on ASIC’s industry funding model following a Treasury review and confirmed the temporary levy relief for personal financial adv...
Financial planning
A former Perth financial adviser has been permanently banned by ASIC after being sentenced in January for unauthorised client transactions....
Policy & Regulation
ASIC has unequivocally rejected claims that it tried to undermine a Senate inquiry by requesting public interest immunity for certain questions....
Funds management
ASIC is looking to make examples of firms when it comes to greenwashing and taking a forthright position when asking them for changes, according to two lawyers who have d...
Financial planning
ASIC has accepted a court enforceable undertaking from a former Capstone authorised representative for failing to keep up-to-date records....
Policy & Regulation
ASIC has been called out by the Senate economics reference committee for undermining the process of an inquiry into its investigation and enforcement actions by submittin...
Financial planning
A financial adviser has been found guilty by the District Court of Western Australia of stealing from clients. ...
Financial planning
Describing artificial intelligence as a "high and important priority" for the regulator, it indicated it would hold consultations to reflect latest developments....
Financial planning
ASIC has released the pass mark for this year’s May financial adviser exam with almost three-quarters of candidates sitting for the first time....
Financial planning
EXCLUSIVE A lack of regulatory confirmation is making it difficult for firms to move into the digital advice space, according to abrdn, and changes under Quality of Advic...
Financial planning
A Western Australian financial adviser is on trial for allegedly stealing $1 million from the superannuation accounts of eight clients to fund his gambling habit....
Financial planning
New analysis from Wealth Data has revealed that some 175 advisers have been affected by disciplinary actions over the last nine years....
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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...