PETER KELL
Financial planning
Payday lender Cash Stop Financial Services (Cash Stop) will refund a total of $14,000 to more than 650 consumers following an investigation by the Australian Securities a...
Financial planning
ASIC could roll-out a national adviser competency exam for $300, linking it to a register of licensed advisers. ...
Financial planning
Greg Medcraft says financial planning needs to undergo further cultural change, as the sector remains one of the riskiest regulated by ASIC. ...
Financial planning
ASIC Chair Greg Medcraft says no financial services regulator can stop corporate failures without onerous compliance regimes. ...
Financial planning
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking (EU) from former director of AIE Fiduciary Services (AIE) Manish Babul...
Financial planning
The Australian Securities and Investments Commission is continuing its crackdown on false advertising in traditional and non-traditional media, fining a finance broker $2...
Financial planning
ASIC has banned broker for three years after submission of false applications...
Financial planning
The Australian Securities and Investments Commission has banned former Sydney mortgage broker and real estate agent Hyuk Hwang from engaging in credit activities for thre...
Financial planning
The Australian Securities and Investment Commission has raised concerns with TAL Direct over its advertising of its funeral insurance....
Financial planning
The Administrative Appeals Tribunal (AAT) affirms ASIC’s seven-year ban on a Wollongong financial planner from providing financial services....
Editorial
Throughout 2013, ASIC executives repeatedly used AAA Financial Intelligence as an example of how not to run a financial planning dealer group....
Editorial
The Coalition signaled early that one of its first priorities if it won Government at the 2013 Federal Election would be 'Son of Wallis' – essentially an update of the Fi...
Financial planning
The Australian Securities and Investments Commission (ASIC) has moved to stamp out misleading terminology that has led some pensioners to believe they are earning a highe...
Funds management
Almost half the advice on structured products lacked on compliance, the regulator said after reviewing 50 SOAs....
Financial planning
Mortgage broking house Mortgage Choice forks out $30,000 in fines over false advertising....
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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...