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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
van Eyk’s administrator has recommended winding up the research house, ahead of a meeting tomorrow to determine the company’s fate. ...
Financial planning
ASIC warns that commissions may continue to exist within MIS arrangements despite the FOFA changes....
Financial planning
ASIC deputy chairman, Peter Kell, says the regulator will be taking a clsoe look at professional indemnity insurance in coming months....
Editorial
Heidi Nash-Smith and Jack Geng explore the controversy surrounding the Financial Ombudsman Service and how ASIC can redress the power imbalance....
Life/Risk
The corporate regulator is not seeking any changes to PI insurance requirements for advisers stating that ‘tinkering’ would not deal with problems related to claims or di...
Financial planning
A South Australian finance broker has pleaded guilty to forging a memorandum of mortgage, to defraud $170,000 from an investor....
Policy & Regulation
Opposition to consider reworked FOFA policy for next election as industry reports confirm need to oppose amendments....
Superannuation
Corporate superannuation advice is caught between legislation and government inaction threatening the provision of advice....
Financial planning
Banning upfront commissions on insurance products is not the answer to weeding out unscrupulous advisers, according to The Boutique Financial Planning Principals’ Group (...
Financial planning
ASIC has secured a restraining order preventing a foreign exchange company and its former director from carrying on a financial services business....
Life/Risk
A former insurance company director has pleaded guilty in the Adelaide Magistrates Court to 39 charges brought by ASIC....
Financial planning
An Australian financial services business has agreed to cease providing services in Japan after an inquiry by ASIC found it was not licenced by the Japanese regulator....
Financial planning
BTFG moves unilaterally be introducing its own adviser register and providing scope for client feedback and assessment....
Financial planning
More than 4000 customers of the CBA's planning businesses have registered for a review of the financial advice they received following the launch of the Open Advice Revie...
Financial planning
Financial services group Spring FG says it will never be pursuing a dealer group model again after a “bitter experience” with a rogue licensee last year. ...
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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...