AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

Policy & Regulation

Financial planning software provider COIN expects to be conducting Future of Financial Advice (FOFA) adjustments for the next 18 months. ...

Superannuation

APRA will probably phase in the new framework on statistical collection as many super funds are unlikely to meet the deadline, according to deputy chairman Ross Jones....

Financial planning

Lifespan denies it has been subject to closer ASIC scrutiny because it recruited former Morrison Carr advisers....

Life/Risk

Insurance comparison website Choosi has responded to concerns raised by some risk advisers about its marketing strategy and service to consumers....

Funds management

The ex-director of Astarra AM has been banned for life after contributing to the collapse of Trio Capital by failing to comply with financial services law. ...

Financial planning

ASIC has imposed additional conditions on Lionsgate Financial Group’s licence after conducting a surveillance of its advice business....

Financial planning

A general consensus has emerged that many dealer groups will have to change commercial models as a result of the new conflicted remuneration rules....

Financial planning

The industry has welcomed a Treasury draft detailing grandfathering and a transition time to 1 July, 2014....

Financial planning

While the 'hard' implementation date for the Future of Financial Advice (FOFA) regulation is 1 July 2013, one financial planner has been voluntarily complying with the re...

Financial planning

The FPA remains a strong supporter of a complete ASIC-approved code of conduct, while the AFA claims an “opt-in specific” code would provide more freedom to financial pla...

Financial planning

Former Lonsec managing director Norm Graham pleads guilty to insider trading charges....

Financial planning

Kathryn Wardrobe outlines the steps for preparing your fee disclosure statement (FDS)....

Financial planning

The regulator has provided a checklist of code content that would obviate the need for complying with opt-in....

Financial planning

A new survey reveals how slowly financial services regulators are responding to politicians’ questions....

Editorial

It is now nearly a month since the Prime Minister, Julia Gillard, announced that the 2013 Federal Election would be held on 14 September – and despite her suggestions to ...

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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’...

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

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

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