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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Policy & Regulation
There has been an upsurge in retail investors seeking to time the market in pursuit of quick profits and the Australian Securities and Investments Commission has warned t...
Financial planning
Some of Australia’s largest financial advice groups are facing the problem of too few advisers who are degree qualified leading to the need for strong succession planning...
Financial planning
The FPA has partnered with three fintech providers to allow advisers provide early super advice more efficiently....
Life/Risk
Amid suggestions by the Australian Financial Complaints Authority that the Activities of Daily Living regime is “very tough”, the major insurers have flagged key changes ...
Financial planning
The Financial Planning Association has challenged the sense and workability of the Australian Securities and Investments Commission’s proposals around time-limited supera...
Superannuation
Australians are being targeted by scammers posing to be from Government agencies and that real estate agents are now telephoning tenants to access their super before aski...
Superannuation
The Australian Securities and Investments Commission has announced it has disqualified, suspended or added conditions to the registration for a number of self-managed sup...
Financial planning
With or without code monitoring bodies or a single disciplinary body, some licensees have been breach-reporting to ASIC on adviser code breaches....
Financial planning
The February sitting of the FASEA exam saw a pass rate of 82% and the June exam will not have a face-to-face sitting....
Financial planning
Former adviser James Gibbs has been permanently banned, the first imposed utilising the recent extensions to the corporate regulator’s banning powers....
Financial planning
The Australian Securities and Investments Commission has pointed to hundreds of millions earned by stockbrokers, advisers and advice firms as a result of the stamping fee...
Funds management
It is alleged the sponsored link advertisements promoting Mayfair debenture products were misleading or deceptive....
Policy & Regulation
The Australian Securities and Investments Commission has fired a shot over the bows of real estate agents who have been providing ‘advice’ to hard-pressed tenants about a...
Policy & Regulation
The Australian Securities and Investments Commission was only conducting five investigations relating to industry funds compared to 16 relating to retail funds. ...
Financial planning
It was well known that a consortium led by the FPA and AFA was seeking authorisation of as a code monitoring body but the Australian Securities and Investments Commission...
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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?...