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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
ASIC has released updated guidelines regarding Enforceable Undertakings (EU) stating it would provide further details as to the level of compliance attained by groups iss...
Financial planning
ASIC deputy chairman, Peter Kell, says the regulator is not yet facing a rush by accountants to be licensed....
Accounting
A Gold Coast accountant will serve an eight month sentence by way of an intensive correction order, after pleading guilty to misleading ASIC....
Financial planning
Macquarie Group will compensate 80 clients, or around 13 per cent of cases reviewed in its client remediation work, but more may follow....
Life/Risk
Australia’s life insurance sector has been put on notice that its current model is unsustainable and handed a reform ultimatum by regulators. But what will this mean for ...
Financial planning
With automated investment advice taking off in the United States over the last three to four years, Malavika Santhebennur investigates whether Australia will follow suit,...
Financial planning
Life/risk advisers concerned at reports FSC submission urges 20 per cent flat commission and five-year responsibility period....
Financial planning
ASIC has cancelled the licence of a margin foreign exchange business for making frequent changes to one of its user platforms, but failing to document them. ...
Financial planning
ASIC has flagged concerns about social media posts by a Bitcoin miner, announcing its intension to list on the ASX, despite not having lodged documentation with the regul...
Financial planning
ASIC warns retail investors against the risks of dealing with unlicensed binary options providers singling out Opteck.com in specific warning. ...
Financial planning
An increasing number of participants in the financial services industry are subject to a "best interests" obligation in relation to their clients. But what exactly does ...
Financial planning
The ASIC adviser register is intended to be up and running on 31 March....
Accounting
Accountants remain confused about the process involved in the uptake of the limited licensing regime but they need to proceed quickly if they want to advise on SMSF, the ...
Financial planning
A former financial adviser has been jailed for defrauding more than 150 of her clients over two decades. ...
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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...