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ASIC
Policy & Regulation
ASIC’s licence exemption for fintechs to test products without a licence would not make a ‘material difference’ to everybody across the industry....
Financial planning
The AAT has reinforced ASIC’s banning of former Morgans Financial Limited client adviser, Ryan Batros from providing financial services for five years....
Financial planning
The AFA has voiced concerns ASIC’s industry funding model would pass costs aimed to remediate poor advisers on to all advisers....
Financial planning
The ASIC industry funding model bill failed to differentiate between miscreants and those advisers who did the right thing and provided no discounts for the latter....
Life/Risk
An additional layer of assistance to help consumers make a claim would add more confusion and would be seen as a way to discourage consumers from making a claim, a panel ...
Life/Risk
ASIC would review issues in the life insurance industry with a culture lens, ASIC told an FSC conference panel....
Financial planning
The Australian Securities and Investments Commission has looked to deepen its consultative relationship with financial advisers....
Funds management
ASIC has released guidance on risk management systems of responsible entities aimed at reduction of the potential losses for investors....
Financial planning
The corporate watchdog has cancelled the AFSLs of Capstone Capital and Rebate Financial Services....
Editorial
The recent Australian Securities and Investments Commission report on how large financial institutions oversee their advisers has served as a sobering reminder of the cha...
Editorial
The Australian Securities and Investments Commission review of Mortgage Broker Remuneration is reminiscent of the findings which gave rise to the Future of Financial Advi...
Features
Advisers might be keeping pace with technology, but are they on top of the regulation that goes with it? Hope William-Smith finds out....
Life/Risk
ASIC has once again called for the exemption removal of insurance claims handling from the Corporations Law after CommInsure was cleared of any wrongdoing as per the law....
Financial planning
ASIC has accepted an enforceable undertaking from former Macquarie Equities adviser, Anthony Wilson after finding he failed to comply with financial services law....
Financial planning
ASIC has accepted enforceable undertaking from three Barclays’ foreign financial services providers....
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Podcast
So shareholders lose a dividend plus have seen the erosion of value. Qantas decides to clawback remuneration from Alan ...
This is why I left my last position. There was no interest in giving the client quality time, it was all about bumping ...
So the Hayne Royal Commission has left us with this. What a sad day for the financial planning industry. Clearly most ...