INVESTMENTS COMMISSION
Editorial
Past performance is no indicatior of future performance is an oft qouted statement so then why is there any emphasis placed on it by fund managers and financial planners....
Financial planning
The Australian Securities and Investments Commission (ASIC) has ordered that a planner with the Bongiorno Financial Advisers group be prohibited from acting as a represen...
Financial planning
The Australian Securities and Investments Commission (ASIC), in line with its ongoing efforts to improve risk disclosure to investors, has released an overview of common ...
Financial planning
The Financial Planning Association (FPA) has written a submission to the Australian Securities and Investments Commission (ASIC) requesting it use its discretionary power...
Policy & Regulation
The Australian Prudential Regulation Authority (APRA) has given directions to AMP Life, while the Australian Securities and Investments Commission (ASIC) has accepted an ...
Financial planning
The Australian Securities and Investments Commission (ASIC) has issued five compliance guidelines to the market offering practical advice to operators of managed investme...
Financial planning
A Sydney-based planner has been banished form the industry for two years following the Australian Securities and Investments Commission (ASIC) uncovering a number of clie...
Financial planning
The Australian Securities and Investments Commission (ASIC) has put institutions with aligned advisers on notice after a recent surveillance project found that commission...
Financial planning
Attempts by the Investment and Financial Services Association (IFSA) and the Association of Superannuation Funds Australia (ASFA) to agree on a single fee measure for sup...
Financial planning
The Australian Securities and Investments Commission (ASIC) obtained final orders in the Supreme Court of Queensland yesterday against the directors of Drury Management, ...
Financial planning
Pengana Capital has revealed it will grant investors in its recently flagged new listed investment company - Pengana Managers - equity in the underlying investment manage...
Financial planning
The Australian Securities and Investments Commission (ASIC) has banned a Queensland-based adviser for investing $1.3 million of client assets through an unlicensed Philip...
Financial planning
Mariner Financial yesterday lodged prospectuses with the Australian Securities and Investments Commission (ASIC) for two new versions of its recently launched Lifestyle B...
Financial planning
The Australian Securities and Investments Commission (ASIC) is to take a practical approach to regulating the new licensing and disclosure regime under the Financial Serv...
Financial planning
A Melbourne financial adviser has been permanently banned from the industry after falling for a Nigerian letter scam....
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MARKET INSIGHTS
Podcast
The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
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...