With or without code monitoring bodies or a single disciplinary body, some licensees have been breach-reporting to ASIC on adviser code breaches....
The Association of Financial Advisers believes the approach adopted by ASIC will give the Financial Adviser Standards and Ethics Authority an opportunity to engage in gen...
The Government’s decision to scrap industry-run Code Monitoring Authorities will save the major planner bodies millions in set-up and running costs....
The Financial Adviser Standards and Ethics Authority needs to take greater responsibility for implementation of the Code of Ethics....
Mike Taylor writes that the new assistant minister for Superannuation, Financial Services and Financial Technology will find some urgent matters sitting in her portfolio ...
The Financial Planning Association has established a new legal entity in preparation to become a code-monitoring body under the Financial Adviser Standards and Ethics Aut...
The Association of Financial Advisers have warned that it is financial advisers and their clients who will ultimately have to carry the cost of the code monitoring arrang...
The Financial Planning Association has acknowledged that obtaining and then maintaining financial planner code-monitoring status represents a substantial and expensive ch...
My view is that after 2026 there will be quite a bit less than 10,000 'advisers' (investment advisers) and less than 100...
Dugald makes a great point that not everyone's definition of green is the same and gives a good example. Funds have bee...
How did they get the AFSL in the first place? Given the green light by ASIC. This is terrible example of ASIC's incompet...