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Financial planning
Some planners are worried that PI requirements risk compromising best interest allocations....
Financial planning
Financial planning licensees need to take a close look at their Approved Product Lists (APLs) to ensure they are sufficiently broad, according to Minter Ellison partner R...
Financial planning
The Australian Securities and Investments Commission has banned two former planners for three years and six years, respectively....
Financial planning
ASIC confirms reasons for cancelling Morrison Carr licence and director banning....
Funds management
An ASIC review of unlisted property managed investment scheme responsible entities has pointed to some deficits and an ongoing review program....
Superannuation
On the back of changes announced as part of the FOFA guidelines, My Adviser has announced the launch of a specialist authority to enable accountants to continue to recomm...
Superannuation
Government outlines basis for registering SMSF auditors while ASIC will devise a competency exam in consultation with the industry....
Accounting
After months of negotiations, the Federal Government is likely to replace the so-called 'accountant's exemption' with a limited, non-product licensing regime....
Financial planning
Financial planning dealer groups will need to deliver greater value for money in their product and service offerings in order to stay competitive in a new legislative env...
Financial planning
Financial planning dealer groups will need to deliver greater value for money in their product and service offerings in order to stay competitive in a new legislative env...
Policy & Regulation
Professional Investment Services has warned of PI inconsistencies in the FOFA legislation best interests provisions....
Financial planning
The Australian Securities and Investments Commission has banned Rory Mor Macleod Deutsch from providing financial services for four years following an investigation....
Financial planning
Melbourne-based Romad Financial Services (RFS) has had a decision by ASIC to cancel its licence stayed by the Administrative Appeals Tribunal (AAT)....
Rate the raters
Claims by the financial planning industry that all industry participants, including research providers, should be liable for some client losses has been met with a mixed ...
Financial planning
Some lenders have been taking advantage of regulatory loopholes to either recommend clients start up a self-managed super fund (SMSF) or obtain a declaration of business ...
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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?...