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ASIC
Funds management
Australia and New Zealand Banking Group and National Australia Bank have both entered enforceable undertakings with ASIC, following a Federal Court declaration against th...
Financial planning
CHOICE and the Consumer Action Law Centre has called for the involvement of ASIC and the extension of the Bank Executive Accountability Regime to planning executives....
Financial planning
The Australian Securities and Investments Commission has sought final orders in continued Federal Court proceedings against companies associated with binary trading....
Financial planning
The Australian Securities and Investments Commission has admitted it cannot regulate the number of products on an APL or which products advisers choose....
Superannuation
Industry Super Australia has continued its attack on the Federal Government’s superannuation reforms, yesterday saying that the proposed legislation will fail to prevent ...
Financial planning
A Queensland planner has been sentenced to 10 years imprisonment by the Brisbane District Court on 25 separate charges brought by the Commonwealth Director of Public Pros...
Financial planning
ASIC has confirmed restricted use of the term ‘independently-owned’ and ‘non-aligned’ in its updated Regulatory Guidance 175....
Financial planning
ASIC has accepted an enforceable undertaking from a former representative of Toowoomba-based Hart Ensole Pty Ltd....
Life/Risk
The life insurance industry will be required to use uniform definitions following work by APRA and ASIC which found meaningful comparisons could not be made under current...
Financial planning
Operators of ‘binary options trading boiler room’, Jana Jaros and Jackson Capper, have been convicted and sentenced....
Policy & Regulation
The names of senior executives who have been sanctioned by the Australian Securities and Investments Commission should sit on a register for seven years, according to the...
Policy & Regulation
A key Treasury-led taskforce is urging the Government to give the Australian Securities and Investments Commission the power to go beyond procedures such as enforceable u...
Financial planning
The corporate regulator has cancelled one AFSL and suspended another as the firms failed to lodge financial statements and auditor’s reports....
Financial planning
A former Commonwealth Financial Planning senior planner has pleaded guilty to one rolled-up charge alleging forgery....
Financial planning
The Association of Financial Advisers has warned ASIC that the nature of its industry funding regime is such that the vast majority of good financial advisers is being ma...
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MARKET INSIGHTS
Podcast
This verdict highlights something deeply wrong and rotten at the heart of the FSCP. We are witnessing a heavy-handed, op...
Interesting. Would be good to know the details of the StrategyOne deal....
It’s astonishing to see the FAAA now pushing for more advisers by courting "career changers" and international recruits,...