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JOE LONGO
Financial planning
A closer watch on licensees that fall short on cyber security protections is among a dozen new enforcement priorities announced by the corporate regulator for 2025. ...
Financial planning
ASIC chair Joe Longo says the complexity of the reportable situations regime for AFSLs is impeding the ability of the regime to achieve its original aim of identifying no...
Financial planning
ASIC leadership has waded into the political debate about Qantas flight upgrades, confirming its executives hold membership of the Chairman’s Lounge but denying it affect...
Funds management
ASIC has made two appointments to its senior executive leadership team covering regulation and enforcement following an international search. ...
Funds management
ASIC chair Joe Longo has told compliance professionals they need an “attitude of compliance” beyond written policies, how can AFSLs achieve this without alienating their ...
Funds management
ASIC has reassured investors that Australian equity markets operate with a “high level of integrity” following its latest market cleanliness report....
Funds management
Four individuals face a $1 million fine after being charged with alleged market manipulation regarding a “pump and dump” scheme....
Funds management
Failure to meet ESG compliance obligations can leave financial services directors walking a tightrope of risk, according to PwC, as ASIC urges firms to prepare for climat...
Financial planning
ASIC has flagged the 2022 case of RI Advice as an example of the need for cybersecurity measures within a financial services firm as chair Joe Longo warns a cyber attack ...
Financial planning
ASIC chair Joe Longo has told a Senate select committee that it has been running two pilot AI programs, including one to read public submissions....
Funds management
Self-reporting issues to ASIC could lead to a reduced charge for a fund manager but it may not exempt them from enforcement action altogether, according to ASIC chair Joe...
Funds management
As ASIC chair Joe Longo pushes firms to prepare for the upcoming mandatory climate disclosure regime, what skills are necessary if firms are looking to expand their ESG t...
Financial planning
ASIC chair Joseph Longo says the regulator is conducting a review into the use of artificial intelligence in financial advice as it explores how to prevent AI harm to con...
Financial planning
The corporate regulator has urged organisations to implement greater cyber security management, with an “alarming” number of firms not managing third-party or supply chai...
Policy & Regulation
As three directors face multiple criminal charges for their involvement in Sterling Income Trust, four years after it collapsed, Money Management reflects on Sterling’s t...
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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...