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AUSTRALIAN SECURITIES AND INVESTMENT COMMISSION
Policy & Regulation
The corporate regulator will be working with regulatory technology entities for its Business Research and Innovation Initiative, dealing with the challenges of corporate ...
Funds management
While the amount of exchange traded fund offerings has exceeded 200 there are still gaps for more offerings, according to ETF Securities....
Policy & Regulation
The Australian Securities and Investment Commission has signed a Memorandum of Understanding with the European Securities and Markets Authority regarding financial benchm...
Superannuation
The Australian Securities and Investments Commission has confirmed that superannuation funds which pay fines from member’s capital are under no specific obligation to tel...
Financial planning
The Australian Securities and Investments Commission has issued a warning to firms seeking to operate under a ‘general advice’ model....
Policy & Regulation
The Australian Securities and Investments Commission has signalled its continuing scepticism about mortgage broker commissions while claiming consumer research has valida...
Policy & Regulation
Peter Goudie has been banned by ASIC for prioritising his own interest over his clients’ and not providing SOAs....
Policy & Regulation
ASIC has sued NAB for dealing with unlicensed home loan introducers in one of the first pieces of litigation resulting from the Royal Commission....
Policy & Regulation
The Australian Securities and Investments Commission has told financial planning firms it expected them to “keep up” with the implementation of regtech....
Policy & Regulation
The Australian Securities and Investments Commission has issued another clear warning to retail Over the Counter derivatives traders about the limitations of their licens...
Funds management
Saxo Capital Markets has welcomed ASIC product intervention powers and reinforced the importance of responsible leverage....
Financial planning
The Financial Services Council has welcomed new legislation aimed to provide more protection for consumers from poor financial products....
Financial planning
The Australian Securities and Investment Commission has imposed additional licence conditions on SMSF Advisers Network....
Financial planning
Many consumers are worryingly unaware of the distinction between general and personal advice, with 47 per cent of Australians incorrectly identifying general advice....
Superannuation
The rules and definitions imposed by superannuation funds is core to the barriers to access to super faced by indigenous people....
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MARKET INSIGHTS
Podcast
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?...