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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
New research undertaken by the Australian Securities and Investments Commission has confirmed that consumers who use advisers actually value them, but that the industry r...
Features
The financial services regulator responded to Royal Commission criticism with a ‘why not litigate?’ approach. Jassmyn Goh finds out what this means for advisers and how t...
Editorial
The financial advice industry is facing yet another layer of bureaucracy as a result of the Government’s so-called Royal Commission Implementation Roadmap but the ultimat...
Financial planning
Centrepoint chief executive, Angus Benbow, makes no bones about the group’s desire to grow the number of planners working under its license....
Policy & Regulation
The Australian Securities and Investments Commission has proposed a ban on the sale of binary options and contracts for difference to retail clients....
Financial planning
A senior financial services lawyer has warned that managed accounts may equate to the selling of in-house assets in the eyes of the Australian Securities and Investments ...
Financial planning
The Association of Financial Advisers has recommended to the Australian Securities and Investments Commission that licensees be able to ‘opt-in’ to the recognition of cli...
Financial planning
Financial services entities providing grandfathered remuneration to licensees and advisers will be scrutinised by the Australian Securities and Investments as they move t...
Superannuation
The new law does not remove the incentive for advisers to recommend poorly performing and expensive products....
Policy & Regulation
The ABA has welcomed the Government’s timetable for legislative change, with eight of the 76 Royal Commission recommendations targeted at the banking industry....
Policy & Regulation
The Australian Securities and Investments Commission has used AMP and its lawyers, Clayton Utz, as examples of successful enforcement action by the regulator....
Financial planning
The Financial Planning Association, Association of Financial Advisers and other professional association backers will today lodge a formal application with ASIC to operat...
Policy & Regulation
ASIC has banned Sydney adviser Tarandeep Aujla from providing financial services for three years for failing to act in his clients’ best interest....
Financial planning
Dealer groups are looking to grow their footprints on the back of the influx of advisers expected from the changes at AMP, the Commonwealth Bank and elsewhere....
Policy & Regulation
The number of complaints received about individual firms should be available to financial services customers, according to the Australian Institute of Superannuation Trus...
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MARKET INSIGHTS
Podcast
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...
So we are now underwriting criminal scams?...