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FINANCIAL SERVICES INDUSTRY
Life/Risk
Former director of insurance broker offers enforceable undertaking to the Australian Securities and Investments Commission (ASIC)....
Financial planning
A survey has shown nearly two thirds of Australian finance professionals claim that gender discrimination exists in the industry....
Editorial
2012 will stand as a watershed year for the Australian financial planning industry – the year during which the various elements of the Future of Financial Advice (FOFA) l...
Editorial
Apart from volatile markets and investor sentiment, this year has also seen major policy developments, new investment trends and key career and business moves. Tim Stewar...
Editorial
A small number of bad apples in the financial services industry once again managed to attract significant attention in 2012....
Editorial
Plan B's Andrew Black could be forgiven for thinking he is being followed by IOOF in the wake of its acquisition of the dealer group....
Superannuation
SPAA argues against codes based purely on obviating opt-in or being approved for licensees or dealer groups....
Financial planning
ASIC announces targeted surveillance of research providers under new policy approach....
Financial planning
After defrauding her clients of more than $3.6 million over eight years, Melinda Scott received a 25-year ban from the financial services industry....
Editorial
A recent court ruling is a timely reminder that investment ratings houses are not perfect, writes Mike Taylor. ...
Life/Risk
New data released by the Australian Prudential Regulation Authority (APRA) has confirmed the degree to which life/risk sales are providing a solid foundation for the fina...
Financial planning
The financial services industry has generally welcomed the Federal Government's announcement of market integrity rules covering high frequency trading and dark pools....
Financial planning
Australia is ahead of many developed markets when it comes to the education of its financial planners, according to CFA Institute managing director, Asia Pacific, Paul Sm...
Financial planning
ASIC has proposed the tightening of rules for some platform operators and responsible entities of managed investment schemes....
Financial planning
APRA's annual report has revealed rising supervisory costs along with the number of exits and failures....
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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?...