Powered by
MOMENTUM
MEDIA
POWERED BY MOMENTUM MEDIA
COMPLIANCE
Financial planning
The AFA is working with Treasury to prevent the loss of grandfathering on existing clients when advisers change licensees. ...
Financial planning
ASIC has raised concerns about the standard of record-keeping practices of a number of Australian credit licensees. ...
Financial planning
UBS has paid $30,000 in relation to an infringement notice from the Markets Disciplinary Panel. ...
Funds management
ASIC has sought court orders that LM First Mortgage Income Fund be wound-up after its collapse earlier this year....
Superannuation
SPAA is urging SMSFs to get quality advice after the ATO announced it would increase its monitoring of the sector. ...
Policy & Regulation
The ATO has set its agenda for targeting high net worths in 2013/14....
Financial planning
An independent expert will monitor the way PIS gives financial advice for the next nine months to ensure the group meets the standards set out in the Enforceable Undertak...
Financial planning
New international data confirms more than half the world’s security exchanges have been targeted by cyber attacks....
Financial planning
A former Bell Potter Securities client adviser has been permanently banned from providing financial services after he was convicted of offences involving dishonesty. ...
Financial planning
ASIC signals it will look to the most senior levels when it detects a bad compliance culture....
Funds management
The Australian Securities and Investments Commission (ASIC) has released final rules around over-the-counter (OTC) derivatives trade reporting obligations for financial i...
Life/Risk
Some progress appears to be being made towards finding common ground on life/risk sustainability and churn....
Financial planning
Count founder Barry Lambert predicts in Money Management that commercial reality and the FOFA changes will precipitate the disappearance of more AFSLs....
Accounting
A new ICAA white paper argues the case for a new Government to recognise the ability of accountants to rebuild community trust in the financial services industry....
Financial planning
The regulator permanently bans a planner and insurance broker in separate actions....
Never miss the latest news and developments in wealth management industry
MARKET INSIGHTS
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...