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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
A former Sydney-based financial adviser has been charged with fraud for allegedly taking $600,000 from his clients’ accounts following an investigation by the Austr...
Financial planning
The Australian Institute of Superannuation Trustees (AIST) has taken a largely sympathetic approach to an option within a Treasury options paper to alter the Australian F...
Financial planning
Six months after assuming responsibility of market supervision, ASIC claims to be more quickly addressing issues....
Financial planning
The number of advisers with margin lending authorisation is surprisingly low, although this may be due to continuing conservatism, according to Claire Wivell Plater, mana...
Financial planning
ASIC has announced that it will support businesses in flood-affected areas, despite the fact that the regulator’s Brisbane office has been closed due to the floodin...
Editorial
Ray Griffin looks at the recent changes made by the Financial Planning Association and considers the impact they will have on the financial planning community in Australi...
Editorial
The financial planning industry has ended 2010 amid just as much uncertainty as the beginning of the year, writes Mike Taylor....
Financial planning
ASIC refines and standardises short selling rules to close netting-off loophole....
Life/Risk
A former travelling insurance agent has been banned for life from providing financial services and sentenced to seven months in jail after defrauding several of his clien...
Financial planning
Count Financial is acquiring a strategic 8.25 per cent stake in Professional Investment Services (PIS) parent entity Centrepoint Alliance, according to a Christmas Eve an...
Financial planning
ASIC accepted an enforceable undertaking from Professional Investment Services in December due to concerns over the firm’s compliance with its legal obligations....
Financial planning
Advisers and investors burnt by the collapse of the Prime Retirement and Aged Care Property Trust believe they have identified significant wrongdoing in the management of...
Financial planning
The University of New England has signed an articulation agreement with RG 146 training provider, Mentor Education Group, allowing Mentor graduates to knock up to 42 per ...
Financial planning
The first meeting of the Government’s financial advice advisory panel was held in Sydney yesterday, but the panel members have been asked to keep the issues discuss...
Financial planning
A Melbourne-based derivatives dealer is being prosecuted by ASIC following an investigation into suspected misleading and deceptive conduct....
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MARKET INSIGHTS
Podcast
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...