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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
ASIC has accepted an enforceable undertaking from a Commonwealth Financial Planning financial adviser that sees him banned from financial services for two years for faili...
Financial planning
Shorter and simpler product disclosure statements are set to be introduced under a government initiative to provide consumers with the means to make better financial deci...
Financial planning
Shorter and simpler product disclosure statements are set to be introduced under a government initiative to provide consumers with the means to make better financial deci...
Financial planning
The online publisher Trident Press has removed a number of claims on its websites after the Australian Securities and Investments Commission (ASIC) found they were "likel...
Financial planning
An ASIC investigation ends in a former PwC consultant pleading guilty to insider trading charges....
Financial planning
Rural financial counselling and money management services have been granted limited relief from licensing requirements by ASIC....
Accounting
An ASIC investigation has seen a Melbourne accountant facing 37 charges over unregistered managed investment schemes....
Policy & Regulation
ASIC will release regulatory guidance on FOFA reforms in time for a 1 July 2012 implementation date - if the bills pass parliament in time....
Financial planning
ASIC has used its submission to the PJC to point to the difficulty of dealing with miscreant financial planners who appeal to the Administrative Appeals Tribunal (AAT) ma...
Financial planning
Austock Securities has paid a $30,000 penalty for breaching the market integrity rule, according to the Australian Securities and Investments Commission (ASIC)....
Financial planning
Westpoint founder, Norm Carey has withdrawn action against ASIC and agreed that he and his companies should pay $75,000 in legal costs....
Superannuation
While Industry Super Network has made considerable gains against the financial planning industry in its campaign against commissions there remains increasing concerns abo...
Financial planning
As debate heats up over the Australian Securities and Investments Commission's (ASIC's) proposed educational guidelines for financial advisers, training providers argue t...
Financial planning
The Minister for Financial Services and Superannuation, Bill Shorten, has announced a number of topics that will not be permitted in intra-fund financial advice....
Financial planning
ASIC allows superannuation funds class order relief to provide superannuation/retirement forecasts....
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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...