AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
FPA backs FSI recommendation that ASIC be given product intervention powers. ...
Financial planning
Planners should lift their knowledge about compliance and risk management issues as this area is often overlooked by research houses and is not actively overseen by regul...
Financial planning
ASIC has been told the ATO is on the right track with its ‘digital by default’ approach. ...
Financial planning
SPAA chief executive, Andrea Slattery, says SMSF trustees should feel comforted by the level of regulatory scrutiny the sector receives....
Financial planning
The Capital Markets Cooperative Research Centre says ASIC chairman, Greg Medcraft, is off the mark when he pushes for a national exam in the absence of evidence it will a...
Financial planning
The major industry funds groups want ASIC to receive better budgetary resourcing to regulate financial planners....
Financial planning
The raft of reviews and inquiries into the financial planning sector has created the optimal set of circumstances in which to lift professional and educational standards ...
Financial planning
ASIC says bitcoins and other digital currencies are not financial products but that derivatives may evolve. ...
Accounting
ASIC must forge a tighter relationship with the industry it regulates if it is to improve effectiveness of its regulation, according to CPA Australia and Chartered Accoun...
Financial planning
ISA has reiterated its calls for advisers to move with haste to a fee-for-service model, with all commission-based fees banned, including on life insurance....
Financial planning
Planners are pre-empting formal changes to education standards from regulators and licensees with enrolments in courses at their highest figures for the start of a new ca...
Financial planning
The corporate regulator has hit out at the media for saying it bungled a loan fraud case worth $110 million, claiming the transgression it’s being blamed for is outside i...
Financial planning
Potential mis-selling and poor advice are likely in the forestry managed investment scheme sector if amendments to FOFA are allowed to proceed, according to Industry Supe...
Financial planning
The former director of a foreign exchange provider has been “restrained” from providing financial services after providing services not covered by its licence....
Financial planning
The FSC has told a Parliamentary Committee that ASIC needs to get more proactive in pursuing enforcement when planning breaches occur....
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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...