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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Superannuation
As the self-managed super fund industry continues to grow rapidly, Andrew Yee explains how to ensure your clients effectively manage their SMSFs....
Life/Risk
An insurance representative who failed to bank client money in a trust account has found himself banned for 10 years....
Financial planning
Consumers, as well as FPA members, will soon be able to access a 'name and shame' register of banned members....
Financial planning
State Trustees ordered to pay $13.5 million compensation to Westpoint investors....
Financial planning
The country's biggest financial services licensees are scrambling to compile significant amounts of data ahead of this Friday’s deadline for the regulator’s industry audi...
Financial planning
Victorian woman who operated Ponzi scheme via a mortgage broking business pleads guilty to six counts of deception....
Financial planning
The Financial Services Working Group is close to finalising the streamlined disclosure documentation attaching to margin loans, superannuation and managed investment sche...
Financial planning
ASIC is concerned at the tenor of bank advertising around term deposits, particularly where dual pricing implications arise....
Financial planning
The activities of a former Brisbane company secretary dealing in mezzanine finance earn him more jail time....
Financial planning
More than 1,000 investors have found themselves tied up in property development schemes that have been identified as illegal....
Financial planning
Regulatory changes to the way Australia’s security market is supervised are being discussed, with ASIC releasing a consultation paper relating to proposed changes to its ...
People & Products
Three new appointments have been made to the Australian Government Financial Literacy Board....
Funds management
Former Westpoint director Norm Carey is planning a return to property development but says he doesn't plan on using retail funds, according to an article in The Australia...
Editorial
Have the recent issues raised by Trio Capital (formally Astarra/Absolute Alpha) created a mini-Madoff affair? Dominick McCormick investigates....
Editorial
Mike Taylor looks at the ACCC's report on NAB's and AMP's bids for AXA Asia Pacific, as well as industry consolidation in general....
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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...