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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Life/Risk
ASIC Commissioner Peter Kell told Money Management there was enough life policy churning in the financial advice industry for the regulator to be concerned about the issu...
Policy & Regulation
ASIC is planning to release further information which would complement consultation papers regarding issues such as recommending products outside of an APL, fee disclosur...
People & Products
Professional Investment Services chief executive Peter Walther has outlined a plan to rid the group of the legacy compliance risk issues that dogged it under previous man...
Superannuation
The complexity of the self-managed superannuation fund (SMSF) space is rapidly outpacing SMSF auditors, according to Chan and Naylor director of financial planning David ...
Financial planning
ASIC Commissioner Peter Kell has told Money Management that while introducing licensee-specific codes of conduct is an option, it could be a costly and complicated proces...
Financial planning
A PIS adviser has been banned for three years for failing to comply with financial services laws....
Financial planning
The Coalition has indicated it has already drafted changes to FOFA legislation that it will implement if it wins office....
Financial planning
Professional codes of conduct should be the responsibility of financial services licensees rather than industry associations in order to be fairer to consumers, according...
Financial planning
AFA signals it will be working to align its Principles of Practice with the outline contained in ASIC consultation paper....
Financial planning
The FPA says its upgraded professional code of conduct will be ready to go as soon as ASIC has finalised the new requirements....
Superannuation
The Government has opted for only limited impacts on superannuation in its MYEFO approach, but has increased the SMSF levy....
Financial planning
ASIC report reinforces importance of EDR process despite debt recovery processes against clients....
Financial planning
ASIC has cancelled the AFSL of Australian Performance Financial Planning, after already suspending that licence earlier this year when the firm went into administration....
Financial planning
Law firm Slater & Gordon said the changes put forward by the ASX to continuous disclosure would present "a plus" for investors, claiming much of the grey area will be rem...
Financial planning
The industry should have a clearer idea within the next two weeks of how a code of conduct will obviate the need for opt-in....
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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...