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Financial planning
Dispute resolution specialist rejects claims by CBA that clients of Don Nguyen were not compensated because of lack of documentation ...
Financial planning
The FPA has welcomed ASIC and dealer group support for moves to separate product sales and advice....
Financial planning
Industry Fund Services (IFS) has resolved compliance issues related to incorrect investment of client funds into an unregistered management investment scheme...
Superannuation
ASIC grants relief to super fund’s advisory arm to reduce advisor exposure to personal liability....
Superannuation
The ATO has confirmed the television advertising campaign launched to support Labor’s superannuation changes cost $16.56 million before it was terminated by the Abbott Go...
Financial planning
The Australian Securities and Investments Commission (ASIC) has permanently banned Victorian finance broker Kieu Thi-Thanh Huynh from carrying out credit activities after...
Financial planning
The FPA’s 10-point plan to separate advice from product sales urges that the terms ‘commission’ and ‘general advice’ be removed from the planning industry’s lexicon....
Financial planning
Sentry Financial Services to write to SMSF clients after ASIC surveillance of corporate authorised representative...
Financial planning
Real estate agents, mortgage brokers, bank employees and SMSFs should all be subject to common regulation, according to Chan and Naylor’s David Hasib....
Funds management
The Australian Securities and Investments Commission (ASIC) has banned a trader employed at Westpac Institutional Bank for creating fictitious trading entries and a false...
Financial planning
The FPA signals a 10-point plan which would see product-related advice subject to regulation and salespeople precluded from being called financial planners/advisers....
Superannuation
Self-managed superannuation fund (SMSF) trustees are being warned that they will pay the price for poor product selection if they fail to ensure fund compliance under a n...
Financial planning
An embarrassed ASIC has imposed license conditions on Comm FP and Financial Wisdom as short-comings in compensation arrangements are revealed....
Financial planning
CBA says it has worked with customers to “put things right”, after the corporate regulator moved to address inconsistent compensation to customers of two CBA-owned planni...
Financial planning
FPA uses Comm FP’s continuing troubles to restate case for separating product from advice....
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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...