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Financial planning
FPA Confidential has resulted in 12 formal investigations since it was launched in February....
Financial planning
The Government's election policy embrace of MySuper has gained qualified industry endorsement, with warnings to end union/industry fund dominance of default super....
Financial planning
Dr Pamela Hanrahan has been confirmed as the Australian Securities and Investments Commission's (ASIC's) newly appointed regional commissioner for Queensland....
Financial planning
The Australian Securities and Investments Commission (ASIC) has established a Markets Disciplinary Panel that will deal with market breaches....
Financial planning
ASIC has moved against what it believes is a Ponzi scheme that extracted $16 million from investors....
Financial planning
While many would agree the current educational requirements for entry into financial planning are inadequate, there is little common ground on how to resolve the issue, w...
Financial planning
The Credit Ombudsman Service Limited has emerged as a competitor to the Financial Ombudsman Service (FOS)....
Financial planning
ASIC has advised that issuers of structured products must better outline counterparty risk and the costs investors might encounter if they terminate or redeem a product b...
Financial planning
Former high profile motivational speaker Christopher Koch was sentenced to 13 years and two months jail for obtaining around $2.9 million by deception....
Financial planning
Financial advisers and superannuation fund trustees can be exposed to legal risk from disgruntled fund members and clients if investment returns fail to reflect the perfo...
Financial planning
ASIC chairman Tony D'Aloisio has defended the role of the regulator arguing it is neither resourced nor legislatively enabled to prevent losses or failures....
Funds management
A Melbourne property promoter has been disqualified from managing corporations for five years following his involvement in 26 failed companies....
Financial planning
The proposal for a new education fund that utilises money collected from market breaches has received a good hearing from the Government, but everything is on hold pendin...
Financial planning
ASIC has started proceedings in the NSW Supreme Court against two Newcastle companies for breaches of an enforceable undertaking....
People & Products
The Auditing and Assurance Standards Board (AUASB) has reappointed chair Merran Kelsall for a further three-year term....
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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...