REGULATION

Policy & Regulation

ASIC senior executive leader, Leah Sciacca, has reiterated the corporate regulator “encourages tech and innovation” in the financial services industry. ...

Policy & Regulation

The Treasury is seeking feedback from the public on regulatory frameworks for buy now, pay later arrangements. ...

Funds management

It is important to ensure that technology does not drive the regulation of crypto assets or compliance could be difficult to achieve, according to the Australian Law Refo...

Expert Analysis

The UK's Retail Distribution Review took place almost a decade ago, what has the industry learnt since?...

Financial planning

The Financial Services Institute of Australasia has proposed a co-regulatory model for the financial advice industry, akin to the United Kingdom’s financial adviser space...

Policy & Regulation

The Australian Securities and Investments Commission has released its latest cost recovery implementation statement for 2021/22, providing an estimated levy for financial...

Financial planning

Senator Jane Hume has confirmed that financial advice is now being viewed as a profession rather than a sales role and that the worst is over following a period of signif...

Financial planning

The Association of Financial Advisers has outlined the key levers it will be targeting to reduce regulatory uncertainty in its submission to the Quality of Advice Review....

Financial planning

Advice should be treated with the respect given to doctors or lawyers as the industry has successfully improved itself to become a profession, according to Financial Serv...

Financial planning

Financial advisers need a break to digest regulation and focus on their business without waiting for the “next regulatory hit”, according to shadow minister for financial...

Policy & Regulation

The Australian Securities and Investments Commission has confirmed 10 financial advice misconduct criminal cases are before the courts with six civil cases also yet to be...

Financial planning

The Financial Services Council is hoping the Quality of Advice review will chart the course to end two decades of regulatory encroachment on the advice industry....

Financial planning

Centrepoint Alliance is urging the advice industry to work together to provide advisers with blockchain-enabled annual consent processes to help optimise advice practices...

Financial planning

The regulatory overreach placed on the industry has led to poor outcomes for advice clients and regulators need to start trusting the industry again, an adviser believes....

Policy & Regulation

The corporate regulator has signed a new memorandum of understanding with the Croatian Financial Services Supervisory Agency regarding alternative investment funds....

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MARKET INSIGHTS

The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...

1 month 3 weeks ago

Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...

2 months 2 weeks ago

It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...

2 months 3 weeks ago

ASIC has canceled the AFSL of Sydney-based asset consultant and research firm....

3 weeks 3 days ago

ASIC has banned a Melbourne-based financial adviser for eight years over false and misleading statements regarding clients’ superannuation investments....

1 week 5 days ago

ASIC has banned a Melbourne-based financial adviser who gave inappropriate advice to his clients including false and misleading Statements of Advice....

1 week 3 days ago
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