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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
Increased regulatory scrutiny faced by research houses from 1 September this year might result in increased costs....
Financial planning
The Australian Securities and Investments Commission (ASIC) has obtained interim court orders against Sydney financial adviser Gabriel Nakhl....
Financial planning
ASIC ordered AAA planners to be covered by the dealer group’s PI insurance policy until 29 January, 2014....
Financial planning
The FPA is investigating claims made by dealer group AAA Shares about its affilliation with the FPA and the CFP status of some of its planners....
Financial planning
The Government appears to be reconsidering its approach to the grandfathering of commissions, according to King & Wood Mallesons special counsel Michael Mathieson....
Financial planning
Guardian Advice is set to provide refuge to a few “high quality planners” from AAA Financial Intelligence, whose license was recently cancelled by ASIC....
Financial planning
A Sydney director has been banned for three years after an Australian Securities and Investments Commission (ASIC) investigation found he was unfit to engage in credit ac...
Accounting
With the limited licensing regime for accountants set to begin on 1 July this year, SMSF specialists are weighing up their options....
Financial planning
Some of ASIC's proposed legal obligations for a custodian are unworkable, according King & Wood Mallesons director Damien Richard. ...
Financial planning
ASIC Commissioner Peter Kell said dealer group AAA Financial Intelligence had an “appalling record” when it comes to ensuring the advice provided was fair and honest....
Life/Risk
A Victorian insurance broker has pleaded guilty to stealing over $660,000 of clients’ money over a seven-month period....
Superannuation
AMP SMSF's Philip LaGreca examines the pros and cons of using either corporate or individual SMSF trustees....
Superannuation
SPAA has urged auditors to register early with ASIC to ensure they can undertake SMSF audits from 1 July 2013....
Financial planning
The Federal Government has reaffirmed its intention to leave intra-fund advice out of the FOFA adviser charging regime....
Editorial
While financial planners accept the reasons they are required to hold Professional Indemnity insurance, there are signs the system needs a review....
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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...