AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

Financial planning

Former PIS boss Robbie Bennetts claims ASIC lacks an understanding of the financial services sector, is unwilling to listen and is not trusted and respected by the financ...

Editorial

Grandfathering – specifically the transition of pre-existing commission-based advice fees into the new FOFA arrangements – was an industry football that kept getting kick...

Editorial

The Coalition signaled early that one of its first priorities if it won Government at the 2013 Federal Election would be 'Son of Wallis' – essentially an update of the Fi...

Financial planning

Former Storm Financial head Emmanuel Cassimatis has alleged the group's failure was the result of ASIC actively working against it. ...

Superannuation

Media Super pays a $10,200 penalty after producing potentially misleading advertising, says ASIC....

Policy & Regulation

Federal Government set to deliver pre-election promises with raft of proposed FOFA amendments including grandfathering and opt-in changes....

Financial planning

ASIC has used its fourth major submission to the Senate Inquiry to point to a brand new culture at Commonwealth Financial Planning....

Financial planning

UBS and NAB have pledged $1 million and $2 million respectively to financial literacy projects in Australia, after a run-in with the regulator....

Financial planning

The corporate regulator has worked through the Christmas and New Year period, having made a number of key announcements during the three weeks....

Funds management

Former directors of Prime Trust, including former Federal Minister for Health and Aged Care Dr Michael Wooldridge, breached their duties as company officers, according to...

Financial planning

ASIC finances a trip down the aisle to survey wedding costs in Australia....

Funds management

University of Technology, Sydney signs deal to access global alternative asset curriculum....

Financial planning

Four mortgage brokers banned for providing false information....

Financial planning

ASIC defends its use of industry experts and insists such practices are subject to robust conflict management....

Financial planning

The Australian Securities and Investments Commission (ASIC) wants to shut down a Tasmanian debenture firm, which it says failed to meet the strict legal requirements of i...

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MARKET INSIGHTS

The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...

1 month 3 weeks ago

Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...

2 months 3 weeks ago

It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...

2 months 4 weeks ago

ASIC has canceled the AFSL of Sydney-based asset consultant and research firm....

3 weeks 6 days ago

ASIC has banned a Melbourne-based financial adviser for eight years over false and misleading statements regarding clients’ superannuation investments....

2 weeks 1 day ago

ASIC has banned a Melbourne-based financial adviser who gave inappropriate advice to his clients including false and misleading Statements of Advice....

1 week 6 days ago
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