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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
ASIC has banned a Queensland-based businessman for five years following his involvement in the deceptive marketing and selling of share trading software....
Financial planning
ASIC is aware of the payment of sign-on bonuses but has yet to signal any specific action. ...
Financial planning
A dealer group head says he lost three practices to a cheque-book in the last 18 months, but all three have expressed a wish to come back....
Editorial
ASIC arguably chose a poor strategy when it sought to reassure consumers about its inaction on matters relating to the Reserve Bank of Australia-related companies, Secure...
Financial planning
South Australian finance broker and a Victorian auditor removed from industry after compliance failures....
Financial planning
The financial services regulator will observe a number of selected licensees in their FOFA implementation over the next few months with the goal of identifying areas wher...
Financial planning
ASIC warns of best interest duty breaches where dealer groups take a ‘cookie-cutter’ approach....
Life/Risk
ASIC deputy chairman Peter Kell has used his speech at the AFA national conference to announce major surveillance of retail advice with respect to life insurance. ...
Funds management
An accountant involved in the collapse of Dollarforce Financial Services has been sentenced after being charged with making false and misleading statements....
Funds management
Regulator removes five timber schemes after manager struggles with tough year....
Financial planning
ASIC chairman Greg Medcraft defends ASIC’s record, claiming the media misunderstands the regulator’s relationship with the AFP....
Financial planning
Moving licensees or client books should not trigger an automatic loss of grandfathered revenue, according to financial services lawyer. ...
Financial planning
Existing levels of adviser education should be considered a pathway to degree level qualification....
Editorial
The Federal Treasurer, Joe Hockey, has signalled a “son of Wallis” review of the Australian financial system and, as Mike Taylor writes, the industry is already starting ...
Funds management
The Australian Securities and Investments Commission (ASIC) has changed the definition of ‘hedge fund’ in a bid to tighten disclosure requirements for higher-risk schemes...
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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...