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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Editorial
While the gender balance of the executive ranks and company boards of financial services companies remain decidedly slanted, a growing number of women are breaking new gr...
Financial planning
The Bank of Queensland will have to refund approximately $12 million to around 6000 mortgage customers following a system error....
Financial planning
ASIC has accepted an enforceable undertaking (EU) from Halifax Investment Services after an investigation found deficiencies in the company’s risk management and complia...
Accounting
ASIC has handed a NSW-based accountant a six-year ban from providing financial services following an investigation....
Financial planning
A securities dealer has volunteered to wind back its operations after an ASIC review found the company had breached conditions of its Australian financial services licenc...
Superannuation
SMSFs should be responsible for their wins and losses, which is why there should be no special statutory safety net for them when it comes to fraud, according to Challeng...
Financial planning
The regulator has warned the public to be wary of an email claiming to be from Sydney Credit Union which contains reference to ASIC chairman Greg Medcraft....
Life/Risk
A Sydney insurance broker has been permanently banned from providing financial services following an investigation by the Australian Securities and Investments Commission...
Editorial
“If you don’t think financial advice on life insurance is a problem area for ASIC and for industry, please think again.” ...
Editorial
With the Australian Securities and Investments Commission having fired a shot over the bows of the industry on the question of churn, the Risk Store’s Sue Laing argues th...
ASIC Commissioner Greg Tanzer has called super fund trustees to reinforce the long-term nature of superannuation as an investment, according to ASIC Commissioner, Greg Ta...
Superannuation
ASIC has obtained orders appointing liquidators to MOGS Pty Ltd, which is associated with two Queensland-based self-managed superannuation fund (SMSF) companies....
Editorial
Few people in the financial planning industry will have failed to notice, via draft legislation released by the Treasury, that the Federal Government has delivered what w...
Financial planning
Two bodies will soon regulate financial planners - a serious concern to the FPA....
Financial planning
ASIC’s investigation into HFT and dark pools reveals only a few problems but identifies breaches....
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MARKET INSIGHTS
Podcast
So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...