AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
Watering down financial advice laws could expose consumers and regulators to another Storm Financial-type crisis, ISA says. ...
Financial planning
ASIC could roll-out a national adviser competency exam for $300, linking it to a register of licensed advisers. ...
Funds management
Some Australian-based fund managers have been forced to refine their distribution strategies as a result of consolidation in the financial planning sector - something whi...
Financial planning
Adviser associations support the creation of an adviser register but reject an exam as an inadequate measure of adviser competencies. ...
Financial planning
Greg Medcraft says financial planning needs to undergo further cultural change, as the sector remains one of the riskiest regulated by ASIC. ...
Financial planning
ASIC Chair Greg Medcraft says no financial services regulator can stop corporate failures without onerous compliance regimes. ...
Financial planning
ASIC will only take action on whistleblower tip-offs if it will result in a greater impact in the market. ...
Financial planning
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking (EU) from former director of AIE Fiduciary Services (AIE) Manish Babul...
Financial planning
Touted as the next frontier for accountants, Limited Australian Financial Service Licences (AFSLs) are starting to gain traction with planners too. But what makes them so...
Financial planning
Two Sydney-based accounting auditors have entered an enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC) following a lengthy rev...
Financial planning
The Credit Ombudsman Service (COS) rebuts claims it lacks regulatory oversight and independence. ...
Financial planning
ASIC cancels AFSL of financial services provider unable to comply with licence conditions...
Financial planning
Despite all the negative publicity, Commonwealth Financial Planning has exited its 2011 EU with ASIC....
Financial planning
Industry funds defend the adequacy of RG 146 for their staff in delivering general advice. ...
Financial planning
ASIC warned on need for licensee clarity on any Class Order replacement for the ASIC Training Register. ...
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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...