COMPLIANCE

Financial planning

ASIC has shared the percentage of breach reports related to financial advice in FY24, noting increased reporting by smaller AFSLs....

Financial planning

The financial planning software designed for advisers has rebuilt its platform and brought its development team in-house to better adapt to industry changes....

Financial planning

A compliance expert has shared three tips that financial advisers can learn from the mistakes of Dixon Advisory, based on the firm's AFCA determinations. ...

Funds management

Kaizen Recruitment has examined remuneration trends occurring in the risk and compliance space in its latest salary guide....

Financial planning

ASIC will extend the relief and requirements regarding reportable situations regime for another five years until October 2029, following a public consultation....

Funds management

ASIC chair Joe Longo has told compliance professionals they need an “attitude of compliance” beyond written policies, how can AFSLs achieve this without alienating their ...

Financial planning

BT’s Bryan Ashenden has encouraged advisers to remain aware of the Financial Services and Credit Panel’s four latest determinations against relevant providers to avoid ru...

Financial planning

The FAAA has argued against “prescriptive record keeping obligations” in favour of advisers using their professional judgement....

Financial planning

The Financial Services and Credit Panel has made its latest two determinations, one regarding possible breaches of conflicted remuneration and the second about non-compli...

Financial planning

Compliance and risk consultancy Assured Support has pinpointed five common compliance mistakes made by financial advice firms, borne from small oversights that can quickl...

Financial planning

In light of recent ASIC investigations, Assured Support has outlined how compliance programs can fail within advice practices and licensees if they are treated as “neces...

Financial planning

Compliance firm Cowell Clarke has shared information on how licensees should investigate a possible reportable situation at their firm and when to tell the regulator....

Funds management

ASIC has suspended the Australian financial services licence of a Melbourne fund management firm. ...

Financial planning

There is less than a week to go before ASIC commences a compliance program on 1 August to ensure licensees have correct FAR records, and enforcement action is possible if...

Financial planning

Proactive compliance risk management has become both a “regulatory necessity” and a “cornerstone of ethical excellence” for financial advice licensees, this compliance pr...

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MARKET INSIGHTS

GG

So shareholders lose a dividend plus have seen the erosion of value. Qantas decides to clawback remuneration from Alan ...

2 months 1 week ago
Denise Baker

This is why I left my last position. There was no interest in giving the client quality time, it was all about bumping ...

2 months 1 week ago
gonski

So the Hayne Royal Commission has left us with this. What a sad day for the financial planning industry. Clearly most ...

2 months 1 week ago

A Sydney-based financial adviser has been banned from providing financial services in the interest of consumer protection after failing to act on conduct concerns. ...

3 weeks 5 days ago

Insignia Financial has made four appointments, including three who have joined from TAL, to lead strategy and innovation in its retirement solutions for the MLC brand....

16 hours 55 minutes ago

ASIC has cancelled the AFSL of a $250 million Sydney fund manager, one of two AFSL cancellations announced by the corporate regulator....

3 weeks 3 days ago