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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Funds management
ASIC confirms GTL TradeUp has entered liquidation....
Financial planning
Perth-based Chambers Investment Partners has had its Australian financial services licence cancelled after the company failed to obtain professional indemnity insurance a...
Financial planning
Sonray director Russell Johnson faces sentencing next month after pleading guilty to seven ASIC charges in the Victorian Supreme Court....
Financial planning
FPA to make submission around transparency and consistency of dispute resolution scheme....
Financial planning
ASIC claims to have been misinterpreted and that it will now consider matters relating to the RBA/Iraq bribery allegations....
Superannuation
SPAA claims the level of exposure of SMSFs to residential property is being over-stated. ...
Financial planning
ASIC uses examples of its actions against financial planners and others to defend its record. ...
Funds management
Gold Coast-based fund manager Peter Drake has had his passport seized and assets frozen....
Financial planning
FPA recommends creation of stakeholder body to drive education standards....
Financial planning
Perpetual has received the final regulatory approval required to proceed with its acquisition of The Trust Company, with the New Zealand Overseas Investment Office granti...
Financial planning
A roundtable is warned that ASIC runs the risk of being sued if it tries to head off trouble in the financial services industry before it occurs....
Financial planning
Last week, Money Management published the first eight of Paul Derham’s 16 tips to help planner practices sail through their next licensee compliance audit. In part 2, Der...
Editorial
Milana Pokrajac takes a look at the troubled dealer group WealthSure, its history and its plan to change what the regulator deemed a bad compliance culture. ...
Financial planning
ASIC announces EU for Spring Financial Group ahead of Federal Court proceedings against an AR....
Financial planning
Adviser required to give up authorised representative status...
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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...