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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Funds management
Centuria Property Funds has come out in support of the Australian Securities and Investments Commission's (ASIC's) proposals to improve disclosure in the unlisted propert...
Financial planning
The Australian Securities and Investments Commission (ASIC) has announced it will use the results of a controversial survey of the 20 largest financial services licensees...
Financial planning
The former chief financial officer of Westpoint, Graeme Rundle, has been sentenced to two concurrent 18-month prison terms. The sentence will be suspended as he enters in...
Financial planning
Other financial services regulators urged to emulate ASIC in providing transparency about their activities....
Financial planning
Other financial services regulators urged to emulate ASIC in providing transparency about their activities....
Financial planning
2011 is well on the way to setting a record for corporate insolvencies, according to Dissolve - a business specialising in company liquidations....
Financial planning
ASIC has been successful in having the Federal Court overturn an appeal from Opus Capital at the Administrative Appeals Tribunal against the cancellation of its AFSL....
Financial planning
The Australian Securities and Investments Commission has released a consultation paper and draft regulatory guide for the advertising of financial products and advice....
Policy & Regulation
Law firm Slater & Gordon has expressed its support for the Government’s draft Future of Financial Advice (FOFA) bill, released yesterday....
Policy & Regulation
The Government has delivered the first draft of its FOFA legislation, confirming the two-year opt-in and a proposed ban on asset-based fees with respect to gearing....
Financial planning
The Government has announced the proposed new fee model to raise around $18 million to have the industry fund ASIC's market supervision activities....
Financial planning
The Australian Securities and Investments Commission (ASIC) has entered into enforceable undertakings (EUs) with the remaining two former directors of Trio Capital, Keith...
Financial planning
The corporate regulator has finalised proceedings in the Supreme Court of New South Wales against property development company Great Northern Developments Pty Ltd (Great ...
Financial planning
A former Dover Financial Advisers representative will spend three years out of the industry due to several concerns over advice he provided....
Financial planning
A former company director of Financial Partners Pty Ltd has been committed to stand trial on 14 charges of dishonest conduct involving investor funds, according to the Au...
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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...