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Superannuation
Superannuation funds want the regulators to tell them how they actually spent the millions of dollars in financial services supervisory levies....
Life/Risk
ASIC signals that despite the industry’s position responding to Trowbridge, it is continuing to pursue enforcement over life/risk misconduct....
Financial planning
ASIC chairman, Greg Medcraft says the regulator has a $50 million war chest that he’s ready to use against banks, planners and other miscreants....
Policy & Regulation
ASIC - today rocket scientists, tomorrow dark pools, Sunday black holes and next week boldly going where no regulator has gone before....
The ATO has been told to work with stakeholders, including industry funds, to overcome employer superannuation guarantee non-compliance....
Financial planning
ASIC has acknowledged that newspapers headlines were wrong about planners taking big commissions to recommend residential property investments and that not one planner co...
Policy & Regulation
ASIC chairman, Greg Medcraft, wants the Government to consider allowing ASIC the ability to pursue companies and officers over misdeeds caused by bad culture....
Funds management
Fear must be a greater factor than greed in influencing better standards of behaviour in the financial services industry, according to ASIC chairman, Greg Medcraft....
Financial planning
ASIC refuses a planning firm permission to tailor how its planners’ remuneration and bonuses are revealed to clients....
Financial planning
ASIC and the Federal Treasury have been told to get real about the time needed to implement significant legislative and regulatory change in financial services....
Financial planning
Proposals canvassed for measuring the performance and value for money provided by ASIC, APRA and AUSTRAC....
Policy & Regulation
An international expert questions in whose interests the regulators are really working for....
Funds management
ASIC confirms a continuing focus on FX trading businesses and the existence of several investigations....
Editorial
Is the Trade Union Royal Commission right in pointing to a money link between industry funds and trade unions?...
Financial planning
The CFA Institute urges an oath-based approach as it tells Treasury you can’t regulate against bad ethics....
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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...