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FINANCIAL SERVICES LICENCE
Financial planning
The failure of South Australia dealer group Financial Planning & Life (FP&L) has cast doubt on the viability of the fixed fee, low-cost dealer group model, according to s...
Financial planning
ASIC pursues action against Pacific Blue Securities and obtains freezing orders....
Financial planning
Mortgage broking industry likely to adopt a fact finding and Statement of Advice process: Paratore....
Financial planning
FPA warns the Government of a double regulatory burden on planning firms as a result of the new National Consumer Credit Protection legislation....
Financial planning
The Australian Securities and Investments Commission’s submission to the Ripoll Inquiry has raised the stakes for the future of the financial planning industry but has al...
Financial planning
Financial services providers should not be allowed to appeal against the removal of their licence in cases of bad advice....
Financial planning
Banned from providing financial services for six years on matters relating to the operation of a private mortgage investment business....
Financial planning
One of Australia's largest financial planning dealer groups has told a parliamentary inquiry that there are "clear deficiencies" in ASIC's licensing process, while low ed...
Financial planning
ASIC has initiated multiple criminal charges against the former company secretary and a former director of a failed Geelong-based financial investment firm, Chartwell Ent...
Financial planning
A CPA Australia submission to the Joint Parliamentary Committee urges ASIC to get more proactive in utilising its powers against planning firms in circumstances where pro...
Editorial
Count Financial announces a 9.1 per cent decline in profit and slams the need for PI, arguing it is being penalised for the mistakes of other AFSL holders who shouldn't h...
Financial planning
The Commonwealth Bank of Australia has named the corporate regulator, along with itself and Storm Financial, as one of the key stakeholders involved in the circumstances ...
Financial planning
IFSA defends legislative requirements but says areas of financial services regime could be improved....
Funds management
Fund managers will need a passport to trade, while revamping AFSL regulations would impose further restrictions on the industry....
Financial planning
Small financial planning practices are struggling with the complex requirements and costs of running their businesses....
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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?...