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ASIC
Financial planning
ASIC has permanently banned a former Perth adviser after he made “materially misleading” statements to induce investors. ...
Financial planning
The Financial Services and Credit Panel has made a written order to a relevant provider after it gave advice regarding non-concessional contributions. ...
Financial planning
Industry body SIAA has said the falling number of financial advisers in Australia is a key issue impacting the attractiveness and investor participation of both public an...
Financial planning
As advisers seek greater insights into FSCP determinations, what are the various options considered by the panel and can a decision be appealed?...
Financial planning
ASIC has cancelled the AFSL of a Perth financial services firm following payments to its clients by the Compensation Scheme of Last Resort after a failed managed investme...
Financial planning
A financial advice firm has been penalised $11 million in the Federal Court for providing ‘cookie cutter advice’ to its clients and breaching conflicted remuneration rule...
Financial planning
The Financial Services and Credit Panel has made a decision regarding an adviser who failed to complete their continuing professional development. ...
Financial planning
With cyber security at AFSLs identified as an ASIC enforcement priority, a technology recruiter has shared what these specialists are expecting to earn in the financial s...
Financial planning
As ASIC looks to publish firm-level data on the internal dispute resolution regime, a compliance professional has warned it could have unintended consequences, such as un...
Financial planning
ASIC has suspended the Australian Financial Services Licence of a Melbourne-based financial advice firm....
Financial planning
ASIC is seeking to publish firm-level data on the reportable situations and internal dispute resolution regime, in hopes that advice licensees will “lift their game”....
Financial planning
Financial advice firms have told Adviser Ratings they are planning to increase their compliance spend by almost a third, including on enhancements to their cyber security...
Financial planning
The corporate regulator has issued infringement notices to three AFSLs whose financial advisers provided personal advice to a retail client while unregistered....
Financial planning
The Financial Services and Credit Panel has made a written direction after advice regarding non-concessional contributions meant an individual was forced to withdraw over...
Financial planning
ASIC has been granted permission to shut down almost 100 websites running investment scams, with the Federal Court describing how its victims were “fattened like pigs to ...
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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...
So we are now underwriting criminal scams?...