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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
Corporate insolvencies have continued to rise over the 2011 calendar year, with the number of external administration appointments experiencing the biggest increase since...
Financial planning
ASIC has accepted an enforceable undertaking from the auditor of the failed Astarra Strategic Fund not to act as a registered company auditor....
Financial planning
ASIC has accepted an enforceable undertaking from the auditor of the failed Astarra Strategic Fund not to act as a registered company auditor....
Financial planning
Two companies owned and controlled by former NSW President of the Finance Brokers Association of Australia, Christopher John Riotto, have been found to have engaged in 'u...
Financial planning
ASIC has introduced changes to the naming of retail debt products amid concerns that the term 'secured' has misinformed investors about the safety of these products....
Financial planning
Australians are continuing their push into SMSFs, but most financial advisers have not thought about the risks associated with a direct equity portfolio, according to Ins...
Accounting
After months of negotiations, the Federal Government is likely to replace the so-called 'accountant's exemption' with a limited, non-product licensing regime....
Financial planning
Financial planning groups have expressed serious concerns about ASIC's proposal to allow transition-to-retirement (TTR) strategies within intra-fund financial advice....
Financial planning
Two companies owned and controlled by former NSW President of the Finance Brokers Association of Australia, Christopher John Riotto, have been found to have engaged in 'u...
Financial planning
ASIC has introduced changes to the naming of retail debt products amid concerns that the term 'secured' has misinformed investors about the safety of these products....
Financial planning
Australians are continuing their push into SMSFs, but most financial advisers have not thought about the risks associated with a direct equity portfolio, according to Ins...
Financial planning
One case of inappropriate financial advice was identified by ASIC in the six-month period to December 2011....
Financial planning
One case of inappropriate financial advice was identified by ASIC in the six-month period to December 2011....
Financial planning
The Australian Securities and Investments Commission (ASIC) has obtained Supreme Court orders against an unlicensed financial planning business found to have defrauded 36...
Policy & Regulation
FOFA's approach to financial advice delivered by superannuation funds could result in conflicting decisions on disputes in different jurisdictions....
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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...