ASIC
Policy & Regulation
The Association of Financial Advisers has urged members to directly lobby the Federal Treasurer, Josh Frydenberg if they want ASIC’s proposed levy increase reduced....
Financial planning
The increased volume of reports generated from upcoming changes to the Australian Securities and Investments Commissions new breach reporting regime runs the risk of over...
Financial planning
As the major licensees compete to attract advice businesses and individual advisers, the Australian Securities and Investments Commission’s new approach to reference-chec...
Financial planning
Dover Financial Advisers have been ordered to pay a $1.2 million penalty for engaging in false or misleading conduct, while Terry McMaster will also be required to pay $2...
Financial planning
Five planning and accounting groups have united to press the Government to override the Australian Securities and Investments Commission on its proposed levy increases ci...
Financial planning
Ezzat-Daniel Nesseim has been charged with 16 offences and the corporate regulator alleged that he gave false answers and information under oath....
Financial planning
Although a quick look at the ASIC’s Financial Adviser Register shows a departure of another 33 advisers from the industry this week, it is equally important to understand...
Policy & Regulation
The Australian Securities and Investments Commission is recouping millions of dollars from the industry to pay for the provision of policy advice to Government. Should th...
Superannuation
The corporate regulator has commenced proceedings in the Federal Court against Statewide Superannuation for its representations on insurance cover. ...
Financial planning
Instead of allowing a race to the bottom in terms of the cost of providing advice, financial advisers should be accurately assessing what their advice is worth and chargi...
Policy & Regulation
Superannuation funds would rather see unclaimed remediation money directed away from charities and consumer groups and towards client’s superannuation accounts via the AT...
Policy & Regulation
A senior Federal Opposition frontbencher has fired a shot over the bows of the Australian Securities and Investments Commission warning that well-intentioned legislation ...
Financial planning
The Australian Securities and Investments Commission has prosecuted many people for operating without an Australian Financial Services License but it appears no one has b...
Financial planning
The Australian Securities and Investments Commission is pursuing National Australia Bank in the Federal Court over 195,305 instances of incorrectly charging fees and bein...
Policy & Regulation
People who dob-in instances of misconduct will have the opportunity to seek legal immunity under new arrangements being put in place by the Australian Securities and Inve...
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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...