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PETER KELL
Life/Risk
Australian Life Insurance Distribution will be required to adhere to additional compliance conditions after ASIC found the company had failed to comply with several condi...
Policy & Regulation
ASIC confirms it was consulted in negotiations involving the Financial Planning Association around last minute-changes to FOFA....
Financial planning
Minister for Financial Services Bill Shorten and regulators to address Financial Services Council's August national conference on the Gold Coast....
Editorial
Until the final wording of the Future of Financial Advice legislation is released, it is impossible to assess what the opt-in agreements have actually achieved for financ...
Editorial
As ASIC moves to translate the FOFA Acts into a new regulatory environment, there appears every chance that opt-in obligations may need to become an integral part of indu...
Financial planning
The code of conduct carve-out to opt-in requirements has led to questions over what happens when there is a disparity between the approach of licensees and the obligation...
Policy & Regulation
The Federal Opposition believes some segments of the financial planning industry got 'sold a dummy' on the manner in which approved industry codes of conduct would 'obvia...
Life/Risk
A Menai-based insurance broking firm has had its licence suspended for seven months following surveillance conducted by the ASIC....
Financial planning
Once the dust has settled on the current round of industry reforms, the dealer group as we know it may cease to exist, according to senior financial financial advice figu...
Financial planning
ASIC has rapped 21 financial services licensees across the knuckles for incorrectly marketing themselves as 'independent'....
Financial planning
Participants in the Financial Planning Association's shadow shopper workshops have called for better clarity from the regulator, as ASIC commissioner Peter Kell elaborate...
Financial planning
Compliant industry codes of conduct deemed to obviate the need to comply with opt-in requirements will have to meet a hefty set of criteria, according to ASIC commissione...
Financial planning
ASIC has permanently banned a former Commonwealth Financial Planning adviser after he was found to have forged the signatures of four of his clients....
Financial planning
A former Commonwealth Financial Planning adviser has been permanently banned by ASIC after it was found he had forged the signatures of four of his clients....
Financial planning
Level of interest sees AFA/FSC upgrade to a larger venue for their Future of Financial Advice forum....
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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...