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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
Former Astarra Asset Management investment manager Shawn Richard was on Friday sentenced to a total of 3 years and 9 months imprisonment with a minimum term of 2 years an...
Financial planning
Former Astarra Asset Management investment manager Shawn Richard has today been jailed for two and a half years in the New South Wales Supreme Court....
Financial planning
Financial planning clients would face greater risks in volatile markets under opt-in, says FPA chief, Mark Rantall. ...
Financial planning
Former Trio Capital director has agreed to a nine year exclusion from the financial services industry, as part of an enforceable undertaking (EU) with the Australian Secu...
Policy & Regulation
A ban on stockbroking commissions proposed in the Government's Future of Financial Advice (FOFA) reform package will be detrimental for the industry and have unintended c...
Financial planning
As managed fund inflows struggle to return to pre-GFC levels, share trading and direct investments became increasingly popular with retail investors over the past couple ...
Editorial
A significant portion of the Australian population does not understand what constitutes financial advice and that it remains far too easy for people operating well outsid...
Editorial
As Australian planners seek to come to terms with the Government’s Future of Financial Advice changes, Paul Resnik outlines events in the United Kingdom and their impact ...
Editorial
Dr Ron Bewley explains what volatility means, and whether reports of 'volatile markets' in the past couple of years have been accurate....
Financial planning
A Sydney director has been banned permanently by the Australian Securities and Investments Commission (ASIC) for operating a financial services business without an Austra...
Superannuation
Superannuation funds will soon have to provide consumers with greater transparency around investment risk with the introduction of a new industry guideline....
Financial planning
The directors of failed Opes Prime Stockbroking Limited (OPSL) have been jailed for dishonestly using their positions as directors, ASIC has announced....
Financial planning
Non-for-profit organisation and education benefit provider, the Australian Scholarships Group (ASG), has launched a free financial literacy guide called Planning Counts, ...
Financial planning
ASIC has made its first move towards licensing consumer credit businesses as part of the transition to new national consumer credit laws, with over 500 financial planning...
Financial planning
ASIC confirms 59 redundancies in the past 12 months despite the looming requirements of FOFA....
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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...