COMPLIANCE

Editorial

ASIC chairman, Greg Medcraft, will leave a legacy of significant change, but product intervention powers and a user-pays regime might ultimately prove problematic....

Superannuation

Proposed ASIC class order changes to fees and costs disclosure are so opaque one industry group has called for whiteboards and an industry roundtable to dissect them....

Policy & Regulation

The Australian Securities and Investments Commission chairman, Greg Medcraft, wants access to a penalty regime which can be scaled to fit the magnitude of crimes....

Policy & Regulation

The stockbroking industry should not be targeted in ASIC’s cost recovery program as most complaints are against financial planners. ...

Financial planning

The Financial Services Council has pointed to the number of employers who want to do the right thing with regard to women's retirement incomes equity but are stymied by i...

Financial planning

Spring FG has denied any direct links to a planner permanently banned by ASIC....

Policy & Regulation

The FPA supports user-pays funding for ASIC but only if it is equitable across the industry....

Financial planning

The Government has been asked whether women are being appropriately represented on the boards of industry super funds....

Financial planning

The Australian Securities and Investments Commission has flagged that bank planners and vertical integration are on the enforcement agenda for 2015/16....

Superannuation

The Australian Prudential Regulation Authority has dropped the requirement that key superannuation board committees need to have a majority of independent directors....

Superannuation

The Australian Prudential Regulation Authority’s new reporting standards for super funds confirm continuing bureaucratic life for planner trailing commissions....

Editorial

The industry funds’ “compare the pair” advertising campaign was the catalyst for removal of commissions and, as Mike Taylor writes, the advent of FOFA and now its underly...

Superannuation

APRA has stated it sees no sizeable problems around the funding of Industry Super Australia and its lobbying efforts against Government Budget measures....

Policy & Regulation

ASIC has issued a harsh assessment of how lenders are handling interest-only loans reminiscent of its critical analysis of life/risk advice arrangements....

Superannuation

The Federal Government has made changes to its legislation on superannuation fund trustee board governance but not enough to quieten all the industry fund critics....

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MARKET INSIGHTS

The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...

1 month 3 weeks ago

Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...

2 months 2 weeks ago

It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...

2 months 3 weeks ago

ASIC has canceled the AFSL of Sydney-based asset consultant and research firm....

3 weeks 2 days ago

ASIC has banned a Melbourne-based financial adviser for eight years over false and misleading statements regarding clients’ superannuation investments....

1 week 4 days ago

ASIC has banned a Melbourne-based financial adviser who gave inappropriate advice to his clients including false and misleading Statements of Advice....

1 week 2 days ago
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