AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
Managed investment scheme specialist FEA has asserted that it is not the subject of an ASIC investigation and that the regulator is probing an external AFSL holder....
Financial planning
The Australian Securities and Investments Commission is pursuing changes to inject more transparency into securities lending....
Financial planning
A verification count by City Pacific has found that Balmain Trilogy did not receive the required 50 per cent of votes by unitholders of the City Pacific First Mortgage Fu...
Editorial
It is remarkable how many people were surprised by the comments provided to a Parliamentary committee by senior executives of the Australian Securities and Investments Co...
Financial planning
The Taxation Commissioner Michael D'Ascenzo has confirmed the existence of new weapons in the ATO's armoury for scrutinising high-worth individuals....
Financial planning
The term 'financial adviser' should be restricted to those who are regulated by the Australian Securities and Investments Commission....
Financial planning
Some researchers have expressed concern over a request from the Australian Securities and Investments Commission that planners send samples of product research used to fo...
Financial planning
A media report yesterday that accused financial planners of being under investigation by ASIC was false, with the people in question believed to be marketing themselves a...
Financial planning
Rebate services provider YourShare has said many financial planners are holding themselves out to be purely fee for service when in fact they are charging commissions as ...
Financial planning
Licensing system allowing product providers to hold financial services licences should be investigated....
Financial planning
Planners served notice by regulator but reports of home and office raids incorrect....
Financial planning
Balmain Trilogy has lodged a notice with the Australian Securities and Investments Commission under the Corporations Act requiring the regulator to register Trilogy as th...
Financial planning
Some listed property trusts have not disclosed key valuation assumptions in financial reports, according to a recent review by the regulator, while movements in asset val...
Financial planning
The Bank of Queensland has issued a brief statement confirming it is the subject of an investigation by the Australian Securities and Investments Commission....
Financial planning
The WA Financial Services Forum has written to ASIC requesting it publish any reports from its Quality of Advice project in the 'interests of transparency'....
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Podcast
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...