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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
Sydney-based financial services firm Far East Capital has had its Australian financial services licence suspended by the Australian Securities and Investments Commission ...
Financial planning
The ISN has used an ASIC report that found around 90 per cent of income of the top 20 licensees is paid by product providers to reiterate calls for key elements of the FO...
People & Products
The Australian Securities and Investments Commission (ASIC) has announced the appointment of Peter Kell and Greg Tanzer as the regulator’s new commissioners....
Financial planning
ASIC is consulting on new equity market structure issues with a view to preparing the market for the entrance of new market competitors....
Financial planning
To help brokers prepare for multi-market trading in Australia, Iress Market Technology has announced it will offer its Best Market Router as part of its Operator Trader W...
Life/Risk
ASIC moves to ensure ADIs understand dangers of miss-selling consumer credit insurance....
Financial planning
Former Sonray Capital Markets chief executive officer Scott Kenneth Murray has been sentenced to 5 years jail by ASIC after pleading guilty to 10 charges of fraud....
Funds management
Yesterday's S&P/ASX Australian Fixed Income Index Series launch is an important step in towards the creation of fixed income exchange traded funds in Australia, according...
Financial planning
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking (EU) from Opus Capital, a responsible entity for 14 unlisted property ...
Policy & Regulation
The Financial Ombudsman Service (FOS) has played down concerns it will have little legal guidance once the Future of Financial Advice 'best interests' duties become law....
Financial planning
The number of companies entering external administration has now reached levels higher than at the peak of the GFC....
Financial planning
The Australian Securities and Investments Commission (ASIC) has handed a four-year ban to a financial and futures adviser for unauthorised discretionary trading....
Financial planning
The number of corporate insolvencies in August 2011 was the second highest monthly figure on record, according to the latest Australian Securities and Investments Commiss...
Editorial
Samantha Hills provides tips for financial planners on how to manage and avoid conflicts of interest when dealing with clients, ahead of the proposed FOFA changes....
Financial planning
A former Bell Potter employee has been charged with five counts of dishonest conduct involving more than $1.8 million, following an investigation by the corporate regulat...
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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...