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Financial planning
NEOS Life has appointed financial technology and infrastructure company, Sargon, as the new trustee of its Super Plan....
Financial planning
NAB chief executive, Andrew Thorburn, has defended some fees for no service charged by the bank as a “process issue” rather than dishonesty, as he came under fire at the ...
Financial planning
The Finance Sector Union has called for the current move to professionalisation to be extended beyond just planners, but has warned that there are issues with an industry...
Financial planning
Financial planners who breach the industry’s new code of conduct will face the ultimate sanction of exclusion from the industry under arrangements outlined in a new Finan...
Policy & Regulation
UBS Securities has been slapped with a $120,000 penalty by the regulator’s Markets Disciplinary Panel after it had reasonable grounds to believe that UBS contravened mark...
People & Products
Sydney-based RegTech company, TIQK, has partnered with Practifi, a business management platform for financial advice, to offer a new compliance solution. ...
Financial planning
The Australian Securities and Investments Commission has cancelled the AFS licence of Austplan, effective from 25 November....
Policy & Regulation
SEEK data has shown that the Royal Commission has led to a direct increase in compliance and risk roles being mandated by clients across all sub-segments of the financial...
Life/Risk
Allianz attempted to either change or kill two separate independent reports into its compliance procedures that were unfavourable to the insurer’s processes, the Royal Co...
Life/Risk
The Royal Commission has heard that Allianz is checking past compliance issues to see if they should have been reported to a regulator, in addition to its approximately 1...
People & Products
IRESS has integrated its data and analytics solution with XPLAN in response to fee-for-no-service concerns raised by the Banking Royal Commission. ...
Policy & Regulation
The regulator said it has completed a compliance review and remediation program, and removed additional licence conditions, for Total Financial Solutions Australia....
Financial planning
The Financial Planning Association has suggested naming and shaming to ensure compliance with the code of conduct applying to insurance within superannuation....
Financial planning
There is too much focus on the engagement piece rather than compliance when it comes to financial services firms embracing the digital advice path, Decimal believes....
Features
Laura Sullivan and Grant Holley compile seven lessons that will ensure financial firms comply with financial services laws....
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MARKET INSIGHTS
Podcast
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...
So we are now underwriting criminal scams?...