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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
The Australian Securities and Investments Commission has been accused of unilaterally and quietly raising the per adviser levy to $1,142....
Life/Risk
Legislation surrounding the regulation of claims handling may have insurers and related parties look to fall under a single Australian Financial Services License to ease ...
Financial planning
The Federal Court has imposed penalties amounting to $9.15 million on Westpac because of its failure as a licensee with respect to poor financial advice provided by a for...
Financial planning
The Australian Securities and Investments commission has cancelled the Australian financial service licence of KP International Group Australia due to resignation of all ...
Financial planning
The Australian Securities and Investments Commission has announced that AMP Financial Planning has been required to stop providing managed discretionary account services....
Financial planning
The Australian Securities and Investments Commission wanted the Financial Adviser Standards and Ethics Authority to clearly spell out the sanctions it would impose on adv...
Life/Risk
The Australian Securities and Investments Commission’s Federal Court case against major insurer, TAL, will test the circumstances and extent to which life insurers can ga...
Financial planning
The Australian Securities and Investments Commission has taken Federal Court action against National Australia Bank citing several thousand contraventions with respect to...
Financial planning
The Financial Adviser Standards and Ethics Authority has released the content of the Australian Securities and Investments Commission submission on the adviser code of et...
Life/Risk
Major life insurer TAL has been taken to court by the Australian Securities and Investments Commission on charges relating to issues raised during the Royal Commission in...
Financial planning
The Australian Securities and Investments Commission has formally acknowledged that some advisers are struggling to obtain professional indemnity insurance, but the regul...
Policy & Regulation
The Financial Adviser Standards and Ethics Authority is now officially overdue in providing answers to key questions around Australian Securities and Investments Commissi...
Policy & Regulation
Insurance inside superannuation needs a properly resourced code administrator with sanction powers, according to the Australian Securities and Investments Commission....
Superannuation
The superannuation industry has been urged by the Australian Securities and Investments Commission to focus more on improving life insurance outcomes for its members....
Policy & Regulation
The Australian Securities and Investments Commission has investigated 10 superannuation funds in the past four years – nine of them were retail funds....
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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...