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...

sub-bgsidebar subscription

Never miss the latest news and developments in wealth management industry

MARKET INSIGHTS

So we are now underwriting criminal scams?...

5 months ago

Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...

5 months ago

Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...

7 months ago

Commonwealth Bank has formally dropped to zero advisers following LGT Crestone’s acquisition of its advice arm – some six years on from the Hayne royal commission. ...

3 weeks 6 days ago

The FSCP has issued a written direction to an adviser who charged clients “extraordinary fees” for inappropriate and conflicted advice, as well as encouraged them to swit...

1 week 3 days ago

ASIC has cancelled the AFSL of an advice firm associated with Shield and First Guardian collapses, and permanently banned its responsible manager. ...

2 weeks 6 days ago