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Financial planning
The Australian Securities and Investments Commission (ASIC) believes the liability for scaled online financial advice should fall on a financial planner, but a lack of sp...
Financial planning
Former Trio director Keith Finkelde has entered into an enforceable undertaking with APRA that will see him barred from acting as the trustee of an APRA-regulated super e...
Funds management
Centuria Property Funds has come out in support of the Australian Securities and Investments Commission's (ASIC's) proposals to improve disclosure in the unlisted propert...
Financial planning
2011 is well on the way to setting a record for corporate insolvencies, according to Dissolve - a business specialising in company liquidations....
Financial planning
Former Astarra Asset Management investment manager Shawn Richard has today been jailed for two and a half years in the New South Wales Supreme Court....
Financial planning
Financial planning clients would face greater risks in volatile markets under opt-in, says FPA chief, Mark Rantall. ...
Financial planning
ASIC commissioner Shane Tregillis has been appointed chief ombudsman of Financial Ombudsman Services....
Superannuation
Government earmarks $26.2 million towards development of MySuper....
Financial planning
Two people have been banned from providing financial services for five and three years respectively, following separate investigations by the Australian Securities and In...
Financial planning
Newly appointed head of the UK equivalent of the Australian Securities and Investments Commission, Martin Wheatley, has hinted that fiduciary duty might not be the optima...
Funds management
A former Macquarie Bank fund manager has been sentenced to two years and six months imprisonment for front running....
People & Products
Clearview has appointed Chris Robson as its general counsel and company secretary, effective 4 April, 2011....
Financial planning
The Australian Securities and Investments Commission has accepted an enforceable undertaking (EU) from UBS Wealth Management Australia, in order to remedy past compliance...
Financial planning
ASIC has signalled it will be looking closely at fast-growing financial planning businesses....
Financial planning
Australian Unity Funds Management has found itself in legal dispute with David Tweed....
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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?...