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AFSL
Funds management
ASIC is launching a new portal for Australian Financial Services licensees in May to ease the process of applying for a licence. ...
Expert Analysis
With email being the most-commonly used method of adviser communication with their clients, sharing sensitive documents can come with risk of cybercrime, writes Greg Hans...
Financial planning
The parliamentary inquiry into the sophisticated investor test (SIT) has recommended making the test less subjective in order to prevent abuse by AFSLs....
Financial planning
ASIC has cancelled its first AFSL of 2025, taking action against an advice licensee based in Sydney, NSW. ...
Financial planning
With Finchley & Kent coming in second place for adviser growth in 2024, its managing director shares why word-of-mouth referrals have been critical to its success....
Financial planning
Advice veteran Paul Harding-Davis is to step down from Brisbane licensee AdviceIQ Partners after eight years, and the business has appointed a new general manager. ...
Funds management
Sanlam Private Wealth has admitted to breaching its AFSL obligations in areas such as failing to have an adequate number of experienced responsible managers and provided ...
Financial planning
Assured Support explores five tips to help financial advisers embed compliance into the heart of their business, with 2025 set to see further regulatory change....
Financial planning
Six of the seven listed financial advice licensees have reported positive share price growth in 2024, with AMP and Insignia successfully reversing earlier losses. ...
Financial planning
ASIC has announced its finalised industry funding levy, detailing how much licensees will have to pay for the 2023-24 financial year and how it compares to original estim...
Financial planning
The corporate regulator has cancelled two AFSLs, one against a Western Australia financial advice firm and one against an individual. ...
Financial planning
ASIC has warned licensees are demonstrating an “acceptance for internal non-compliance” when it comes to the reportable situations regime as a review finds a licensee too...
Financial planning
ASIC has suspended the AFSL of a Sydney fund manager, which operates a managed investment scheme, over repeated failures to comply with licensee obligations....
Financial planning
Wealth Data has shared an updated ranking of the five largest Australian financial advice licensees, with just 59 advisers separating the firms in the lower half of the t...
Financial planning
An advice executive has shared how advisers should regularly assess the performance of their licensee, regardless of whether they are looking to leave, in order to preven...
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Podcast
So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...