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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
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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...
Financial planning
The Australian Securities and Investments Commission (ASIC) has turned its attention to the inner workings of the investment research industry, including research houses'...
Superannuation
The Association of Superannuation Funds of Australia has supported a standardised examination process for advisers....
Financial planning
ASIC has imposed additional licence conditions on Queensland firm, iPlan, after surveillance uncovered conflicts of interest....
Financial planning
New ASIC chairman, Greg Medcraft wants financial service 'gatekeepers' to vet products going to retail investors....
Financial planning
ASIC chairman, Greg Medcraft points to more focused scrutiny of financial services advertising....
Financial planning
Professional Investment Services (PIS) has warned that any statutory compensation scheme targeted solely at advisers and not the entire value chain is destined to fail....
Financial planning
New research reveals many financial planners question the effectiveness of ASIC in doing its job....
Editorial
Relatively attractive performances throughout the global financial crisis have revived interest in bonds and other fixed income assets, writes Stephen Hart....
Life/Risk
ASIC has refused to grant licensing relief to an insurance ratings service targeting financial planners....
Financial planning
The Government has been accused of breaching its own guidelines in appointing the new ASIC and the ACCC chairmen....
Financial planning
A Perth-based financial adviser has been permanently banned from the industry after engaging in fraudulent and misleading activities, according to the Australian Securiti...
Financial planning
Former Charter Financial Planning adviser Robert Bean has been given a life ban by ASIC after being found to have defrauded more than $3 million from clients....
Financial planning
A clear separation of the responsible entity (RE) from the fund manager and product promoter will increase investor protection significantly, according to Equity Trustees...
Financial planning
A former senior manager at accounting firm KPMG has been sentenced to two years imprisonment for insider trading while acting as a corporate adviser on a business proposa...
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So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...