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...
trustees are already requesting such confirmations when advisory fees (even via fixed term agreements) are deducted from...
CSLR should be broken down into 2 sub sectors, one for product manufacturers and one for financial advisers. Product ma...
We must stand up and show our opposition to both the ASIC Levy and CSLR as they both contribute to the high cost of advi...