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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
When misconduct from within the financial services industry leads to investor loss and hardship, investors are often unaware of existing avenues of redress and do not pur...
Financial planning
Peter Joyner and Associates has lost its Australian Financial Services Licence (AFSL) for failing to maintain adequate professional indemnity (PI) insurance, among other ...
Editorial
Frequent changes in the law mean compliance issues can often be a legal minefield. Here, lawyers David Court, Sonnie Bailey and Kathryn Wardrobe answer three frequently a...
Financial planning
The Australian Securities and Investments Commission (ASIC) has reminded superannuation trustees of changes to disclosure requirements regarding fund mergers....
Financial planning
A former Sydney financial adviser has pleaded guilty to six charges relating to fraud and dishonest conduct....
Editorial
ASIC did not receive more funding from last Tuesday's Budget but it can expect to do so in years to come as it takes on more responsibility for delivering and overseeing ...
Financial planning
The collapse of a managed investment scheme has led ASIC to ban a Victorian adviser for four years and suspend the licence of the firm he worked for....
Superannuation
Govt funds ATO and ASIC to tighten rules around SMSFs....
Financial planning
Financial services delivers mixed response to Budget measures....
Superannuation
Government earmarks $26.2 million towards development of MySuper....
Financial planning
The Australian Securities and Investments Commission (ASIC) has proposed a tightening of the rules around the financial requirements for issuers of over-the-counter deriv...
Financial planning
A Sydney-based derivatives dealer has been banned from providing financial services following an investigation into allegations of misleading conduct and conducting busin...
Financial planning
A Senate committee on competition in Australia's banking sector has recommended the Government reconsider its proposed ban on exit fees, with much industry support....
Financial planning
Two people have been banned from providing financial services for five and three years respectively, following separate investigations by the Australian Securities and In...
Financial planning
ASIC has been urged to move promptly on instituting successor arrangements on responsible entities (REs)....
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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...