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Policy & Regulation
Former cryptocurrency promoter, John Bigatton, has been charged with operating an unregistered managed investment scheme with the investigation aided by the FBI. ...
Financial planning
Financial adviser Ross Hopkins has pleaded guilty to misappropriating $2.9 million in client funds after an investigation by the corporate regulator....
Financial planning
Buy now, pay later providers have responded to a regulatory report from the Australian Securities and Investments Commission which warned of consumers forgoing essentials...
Financial planning
Both the Australian Securities and Investments Commission and the Financial Adviser Standards and Ethics Authority face having to explain the circumstances behind a key s...
Features
Amid the challenges of the COVID-19 pandemic, Australian financial advisers were also witness to significant changes, writes Mike Taylor, not least with respect to AMP an...
Policy & Regulation
Superannuation funds are being subjected to more scrutiny from the corporate regulator over how they deliver insurance inside super to members at the same time as the reg...
Policy & Regulation
The Australian Securities and Investments Commission has clarified that the regulator only paid for tax advice to its stood-aside chairman, James Shipton, but can’t say w...
Financial planning
Almost 80% of financial planners, who are registered under the Australian Securities and Investments Commission’s Financial Adviser Register, are men. ...
Superannuation
Faced by suggestions of an investigation by the Australian Securities and Investments Commission, industry fund NGS Super has declared clean hands on investment switching...
Superannuation
The Australian Securities and Investments Commission is investigating a range of investment switches undertaken by trustees and executives of major superannuation funds. ...
Financial planning
Enforcing the law against advisers is all part and parcel of building consumer confidence in the financial planning industry, according to the Australian Securities and I...
Financial planning
A link has been uncovered between the Australian Securities and Investments Commission’s Consumer Advisory Panel and a key submission regarded as highly supportive of the...
Financial planning
A designation of work by two Griffith University academics as “consultancy/commercial research” has raised questions about the status of a 2018 submission to the Financia...
Financial planning
The corporate regulator’s ban on Perth self-managed super fund adviser Wayne Blazejczyk has been upheld by the Administrative Appeals Tribunal....
Financial planning
Warren Acworth has been charged with offenses relating to false or misleading statements and fraud after an investigation by the corporate regulator....
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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...