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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
One of the men who led the Timbercorp Growers Group through a number of legal battles, Chris Garnaut, has written to ASIC raising issues around actions taken by the Respo...
Financial planning
ASIC has reminded the industry that advertising campaigns will be closely watched and regularly reviewed....
Financial planning
A South-Australian based financial planner has pleaded guilty to one count of deception and two counts of dishonest dealings with documents....
Financial planning
ASIC has formed an agreement with New Zealand's FMA which will allow advisers trained in Australia to have their qualifications recognised in New Zealand and vice versa....
Financial planning
A former director of a South Australian insurance broker has appeared in the Adelaide Magistrates Court on 88 charges of dishonesty following an investigation by ASIC....
Rate the raters
Despite announcing it would close its doors in Australia in October, S&P hasn’t dropped the ball, bringing in consistent results from respondents in Money Management’s Ra...
Financial planning
ASIC will soon hold discussions with the financial planning industry about the potential for setting up a self-regulatory organisation which would develop and administer ...
Editorial
With FOFA having passed both the House of Representatives and the Senate, all eyes in the financial services industry will now be turned to ASIC and the consequent shape ...
Funds management
Lonsec has yet again come out on top in Money Management's 2012 Rate the Raters survey, but other researchers have been closing in on the firm over the past 12 months....
Superannuation
The SMSF Professionals' Association of Australia (SPAA) has hit back at calls for self-managed super funds to pay more towards the SuperStream levy....
Editorial
Given the end of the 2011/12 financial year also represents the start of a 12 to 14-month countdown to the next federal election, the time available for Bill Shorten to m...
Financial planning
ASIC has obtained declarations and orders in the South Australian Registry of the Federal Court against Australia AFT Finance Markets....
Financial planning
A former adviser for Guardian Financial Planning has pleaded guilty in the Downing Centre Local Court to falsifying 65 insurance applications in order to collect commissi...
Financial planning
City Index Australasia and its director Blair Jason Travers have been found guilty in Melbourne's Federal Court of a cold-calling scam that promised to generate returns f...
Superannuation
Government outlines basis for registering SMSF auditors while ASIC will devise a competency exam in consultation with the industry....
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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...