compliance

Editorial

It is remarkable how many people were surprised by the comments provided to a Parliamentary committee by senior executives of the Australian Securities and Investments Co...

Editorial

Double gearing: what happens when markets fail?

Peter Worcester and Paul Resnik continue their examination of the risks involved in borrowing to invest....

Financial planning

Barclays Bank gets enforceable undertaking

Breaches of anti-terrorism and counter-terrorism financing laws at Barclays Bank discovered by regulator....

Financial planning

ASIC warns on asset valuation reports for listed companies

Some listed property trusts have not disclosed key valuation assumptions in financial reports, according to a recent review by the regulator, while movements in asset val...

Life/Risk

PI insurers keep turning the screws

Professional indemnity costs are rising, and so are the hurdles financial planners have to meet to secure a policy....

People & Products

Bennelong adds to compliance committee

Former ING chief executive officer of investment management for Asia Pacific appointed to Bennelong compliance committee....

Financial planning

IFSA: Getting its priorities right

The various committees within the Investment and Financial Services Association (IFSA) have outlined their policy priorities for the 2009-10 financial year. The following...

Financial planning

Financial adviser compliance: how much is enough?

Tim King discusses what financial services licensees should be ready for in compliance when a regulator comes knocking. ...

Financial planning

Fiducian to offer internal software system to dealer groups

Software system requires little servicing, comes with automatic online upgrades....

Financial planning

FUM a 'key influence' on adviser fund selection

A quarter of financial advisers select managed funds for their clients on the basis of FUM inflows into the fund, according to a survey by BDM Direct....

Editorial

Financial planning and applying the lessons of the GFC

Financial planners must take the lessons they’ve learnt from the GFC and begin applying them if they hope to survive the next economic upheaval....

Financial planning

A credit crunch of a different kind

The consumer credit and margin lending space is changing, so be prepared, write SONNIE BAILEY and MELANIE SHERRIN....

Financial planning

My, how times have changed

In the 15 years since I linked up with Bodinnars Financial Planning, now part of the Fiducian Group, a myriad of changes have taken place in our industry. ...