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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
AMP Horizons has made changes to its advice processes after they were found wanting by the Australian Securities and Investments Commission (ASIC)....
Editorial
The Financial Planning Association’s ‘side deal’ with the Industry Super Network on FOFA drew plenty of flack from many key industry figures....
Editorial
The Financial Services Council's position on life insurance churn proved controversial, attracting criticism from the likes of Synchron's Don Trapnell....
Editorial
Plan B's Andrew Black could be forgiven for thinking he is being followed by IOOF in the wake of its acquisition of the dealer group....
Policy & Regulation
ASIC has outlined its regulatory approach on the key questions of best interests and scaled advice, including the "safe harbour" elements....
Policy & Regulation
A former Sydney tax consultant has been sentenced to two years in jail for insider trading, in which it was alleged he profited to the tune of about $50,000....
Superannuation
SPAA argues against codes based purely on obviating opt-in or being approved for licensees or dealer groups....
Superannuation
ASIC has released both the guidance and the transitional arrangements applying to SMSF auditors....
Superannuation
Auditors of SMSFs have been given regulatory guidance on how to register with ASIC ahead of the 31 January start date of a Stronger Super registration scheme....
Funds management
Praemium will take over as responsible entity of BlackRock's separately managed account scheme, with BlackRock to focus on providing asset management and risk management ...
Financial planning
ASIC announces targeted surveillance of research providers under new policy approach....
Financial planning
The provisions concerning general advice raise more questions about where the line is drawn between personal and general advice, according to King & Wood Mallesons specia...
Funds management
ASIC has extended the interim class order relief from the short product disclosure statement (PDS) regime for multi-funds, superannuation platforms and hedge funds....
Life/Risk
Some insurance and credit comparison websites are not properly licensed to provide financial services, according to ASIC....
Financial planning
The manual processing of corporate actions is unscaleable and industry-wide automation is needed to reduce the risk of costly investment mistakes, according to DST Global...
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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...