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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
Two financial advisers have been banned for life following separate investigations by the Australian Securities and Investments Commission....
Life/Risk
Plan B has announced that its Plan B Insurance Brokers business will cease operations under its existing AFSL next month....
Financial planning
ASIC has formed an Emerging Risk Committee specifically aimed at identifying risks to the Australian financial services system before they occur....
Financial planning
A Sydney-based mortgage broker has received a $27,500 fine for advertising credit services it was not licensed to provide, according to the Australian Securities and Inve...
Superannuation
The ICAA has backed a stronger regime of SMSF auditor registration as being more effective than a competency exam....
Financial planning
Former Westpoint chief financial controller, Graeme Rundle, has been found guilty of lying to a bank to obtain more than $70 million for a Sydney property project, accord...
Financial planning
A financial services firm that advised clients to switch their superannuation into a Trio Capital fund has had an enforceable undertaking (EU) imposed on it by the regula...
Financial planning
The Australian Securities and Investments Commission (ASIC) has released a class order to extend the transition period for the new shorter Product Disclosure Statement (P...
Financial planning
A Parliamentary committee has been told ASIC needs to consider the time and costs its demands impose on business....
Policy & Regulation
Van Eyk has called for a requirement for the pay-for-ratings research model to be disclosed within the Government's FOFA reforms....
Superannuation
Creating financially literate and better engaged Australian consumers is vital if the superannuation market and the wider financial services industry are to truly reach t...
Funds management
With an increasing number of financial advisory groups offering some form of property advice either through in-house specialists or through a referral agreement, property...
Financial planning
ASIC has been accused of creating a recipe for chaos when it comes to adviser applications for AFSLs....
Financial planning
Former director of Australian Lending & Finance Corporation (ALFC) Moshe Mordechai has been permanently banned from providing credit and financial services after an Austr...
Rate the raters
The financial relationships between fund managers and research houses escaped scrutiny in the most recent round of regulatory reforms. But that may not be the case for lo...
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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...