AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Superannuation
ASIC signals a push to have SMSF trustees acknowledge the existence of a higher level of risk....
Superannuation
ASIC has revealed that there is a large percentage of over-the-counter derivative providers who are not following appropriate client money procedures, according to Capita...
Financial planning
Treasury officials are continuing to apportion blame to financial planners for some Trio Capital losses....
Financial planning
APRA seeks to create distance from blame around Trio Capital while pointing to deficiencies of SMSF trustees and financial planners....
Financial planning
The Commonwealth Bank's share trading arm, CommSec, has been penalised to the tune of $35,000 for alleged trading infringements....
Superannuation
ASIC has confirmed the degree to which superannuation trustees can now provide non-licensed advice around super forecasts and retirement estimates....
Editorial
With the FOFA, Stronger Super and MySuper reforms finally taking shape, the financial services industry has a clearer picture of what the future holds, writes Chris Kenne...
Editorial
In the current investment climate, alternative investments can provide valuable diversification. So why are investors still not jumping on the bandwagon? Freya Purnell re...
Editorial
With the Parliamentary Joint Committee on Corporations and Financial Services having last week handed down its final report on the collapse of Trio Capital, it is worth r...
Editorial
The last APRA regulatory failure around HIH Insurance saw heads roll. Mike Taylor asks whether the gravity of the Trio Capital collapse ought not to justify similar punis...
Financial planning
ASIC has its eyes set on registered liquidators after its first annual report into the sector revealed that the regulator had opened eight new formal investigations for t...
Financial planning
AMPFS boss says the Financial Planning Association's control of CFP designation hands it an advantage....
Financial planning
A former senior financial adviser has been convicted and sentenced by the Sydney District Court after ASIC found that he used client funds to fuel a gambling addiction....
Superannuation
Reports of payments to a union official and a mandate to a property developer have intensified the spotlight on industry superannuation funds governance....
Editorial
Mike Taylor writes that the Government’s FOFA process has finally produced a genuinely positive outcome in the St John report’s clear analysis of the need for financial p...
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MARKET INSIGHTS
Podcast
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...