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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Life/Risk
ASIC report on relief decisions has revealed the regulator's steadfast attitude on PI....
Financial planning
ASIC has cancelled the financial services licence of AAA Shares, a national dealer group based in Adelaide....
Financial planning
Some financial services licensees claim parts of the regulatory guidance on scaled advice are still open to interpretation - which could potentially lead to liability iss...
Financial planning
As the Financial Planning Association (FPA) opens enrolments for its 2013 Certified Financial Planner (CFP) program, chief executive Mark Rantall says the year ahead look...
Financial planning
ASIC alleges Oliver Peter Curtis made over $1 million in profit by participating in an insider trading conspiracy with the convicted tipper John Hartman....
Funds management
Macquarie Equities enters into enforceable undertaking with ASIC over compliance deficiencies....
Financial planning
The financial planning industry has welcomed ASIC's guidance on fee disclosure, though some argue it should have applied only to new clients....
Financial planning
The director of collapsed Brisbane-based Wickham Securities, Bradley Sherwin, has appointed PPB Advisory as voluntary administrator....
Editorial
Mike Taylor writes that FOFA is already beginning to change the shape and texture of the financial planning industry – something likely to be reflected in a rash of annou...
Financial planning
Almost all financial advice was scoped to a point, so lines between scaled and complex advice are quite blurred, according to AMP director of advice Scott Machin....
Financial planning
An investigation by the Australian Securities and Investments Commission (ASIC) has led to the conviction of a former NSW-based mortgage broker....
Funds management
ETF broker Susquehanna Pacific Pty Ltd has paid a penalty of $25,000 for switching off the price filter in its automated order processing system for ETFs, according to AS...
Life/Risk
Former director of insurance broker offers enforceable undertaking to the Australian Securities and Investments Commission (ASIC)....
Financial planning
Victims of the Trio collapse are threatening to campaign against the Government during the upcoming Federal election, alleging a cover-up encompassing the regulators....
Superannuation
This year is set to be one like no other for self-managed super fund (SMSF) advisers, according to the SMSF Professionals' Association of Australia (SPAA)....
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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...