SURVEILLANCE
Funds management
ASIC has pinpointed five managed funds that need to improve their marketing oversight....
Policy & Regulation
The Australian Securities and Investments Commission has rated the credit ratings houses via a surveillance and found them wanting in some key areas....
Financial planning
ASIC has released its Cost Recovery Implementation Statement outlining its estimated regulatory costs in 2017/18 as part of the industry funding model. ...
Financial planning
ASIC has accepted an EU offered by Financial Index Australia after surveillance found various concerns in policies and procedures in its financial advice business....
Financial planning
Brisbane financial planning firm, Carwardine Financial Services, has agreed to undergo an independent external review of its compliance following ASIC surveillance....
Financial planning
ASIC has concluded monitoring dealer group, Lionsgate Financial Group after it imposed additional conditions on the firm’s AFSL in 2013 for failure to ensure its advisers...
Funds management
ASIC vows to continue scrutiny of margin lending after finding issues around double-geared margin loans....
Financial planning
More than half of Australian employers monitor their staff members’ internet use, with a further 27 per cent blocking access to online shopping sites, a survey reveals....
Financial planning
ASIC has imposed licensing conditions on a Queensland-based financial services firm after identifying concerns over its ability to effectively carry out their supervisory...
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MARKET INSIGHTS
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...