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Mike Taylor writes that both Treasury and ASIC are conducting consultations which suggest that politicians of both stripes have finally woken up to the mess created in th...
Financial planning
The corporate regulator alleged that the IOOF subsidiary failed to have adequate cyber security systems. ...
Policy & Regulation
Key correspondence between the Australian Securities and Investments Commission and Treasury over making class action litigation funding subject to an Australian Financia...
Financial planning
Westpac has said it will not be defending ASIC charges against BT Funds Management and Asgard over fee for no service and has apologised to those affected....
Financial planning
The Financial Planning Association has warned the Australian Competition and Consumer Commission against imposing another layer of regulation and cost on financial advise...
Financial planning
The corporate regulator has obtained interim orders against PW Kitt Co and sole director Larry Dawson for a fraudulent SMSF advisory business. ...
Policy & Regulation
The Australian Securities and Investments Commission has cancelled or imposed restrictions on 42 SMSF auditors for failing to maintain their audit experience....
Financial planning
The Australian Securities and Investments Commission has endorsed the ability of superannuation funds to obtain advice services from financial planning firms underpinned ...
Financial planning
The unregistered managed investment scheme by Askk Investment Group is to be wound up as it had put substantial funds at risk for investors who were not afforded the prot...
Life/Risk
A law firm has raised the prospect of the Australian Securities and Investments Commission using its new Product Intervention Power with respect to insurance adviser remu...
Superannuation
The Australian Securities and Investments Commission has reported it simply became too busy to develop a report around superannuation funds seeking to induce employers to...
Financial planning
The Government and the regulator are showing signs that they now understand they have gone too far in driving up the cost of financial advice, according to panellists at ...
Superannuation
Superannuation members need to regularly check their balance given the scams and fraud activity surrounding the early release of super scheme, a super body has said....
Financial planning
The Australian Securities and Investments Commission has framed intra-fund advice in the same context as scaled advice....
Policy & Regulation
The failed pursuit of Westpac over responsible lending has cost the Australian Securities and Investments Commission nearly $1.9 million before it even accounts for Westp...
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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...