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ASIC
Editorial
Thousands of low-balance, high maintenance clients are being orphaned in the wash-up of what is emerging as significant failure by successive governments to understand th...
Funds management
The corporate regulator has alleged PE Capital Funds Management had operated a number of unregistered managed investment schemes without an Australian financial services ...
Policy & Regulation
Treasurer Josh Frydenberg’s office is arguing that the Australian Securities and Investments Commission has not missed out on staffing resources in the Budget. ...
Superannuation
The scammers are promising high returns of 8% to 20% per annum if the investors moved their super balance to a new self-managed superannuation fund. ...
Policy & Regulation
While the other regulators grew their staff numbers, the Budget papers point to a net loss for ASIC. ...
Financial planning
The Financial Planning Association has pointed to the winding up of FASEA and a cap on Australian Securities and Investments Commission spending as being positives from t...
Financial planning
The corporate regulator is warning investors that the website limestonefx.com is suspicious and that it cannot help reclaim any lost funds, as it is hosted overseas....
Financial planning
Grandfathered arrangements may have ended on 31 December, last year, but many clients and potential clients are only now getting some hard news from advisers about what a...
Financial planning
The Financial Adviser Standards and Ethics Authority’s functions may have been devolved to Treasury and ASIC but the minister is making clear that nothing else has change...
Policy & Regulation
If successful, it will be only the second win in Australia against a company for insider trading, but also has the potential to be another big loss in court for the corpo...
Financial planning
The Australian Securities and Investments Commission has sought to step around tough parliamentary questioning about its views on AMP and how it has handled buyer of last...
Financial planning
Cases like Mayfair 101 highlight the need for an update of the term ‘wholesale investor’, according to the Australian Securities and Investments Commission, as it carries...
Financial planning
The corporate regulator’s decision to ignore the problem with the term ‘general advice’ will continue to confuse consumers, according to the Financial Planning Associatio...
Financial planning
The proceedings related to the bank's role in executing a $12 billion interest rate swap transaction with AustralianSuper and a group of IFM entities....
Financial planning
Rahul Goel of AR Wealth and Finance in Western Australia has also been charged with three counts of false certification of documents....
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MARKET INSIGHTS
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...