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ASIC
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....
Life/Risk
ASIC has called for various improvements in CommInsure’s claims handling process in its report on its investigation into the firm....
Financial planning
ASIC has provided updated guidance on FOFA, best interest duty, and record keeping obligations for licensees and authorised representatives in its RG175....
Financial planning
ASIC has permanently banned a former Anne Street Partners Queensland financial planner from providing financial services for dishonest conduct....
Financial planning
ASIC has cancelled the AFSL of liquidated firm, Aquaint Capital, the responsible entity for Aquaint Income Fund....
Financial planning
Breach reporting standards by the Big Four banks and AMP have been found wanting with an ASIC report finding institutions were failing to report adviser breaches on time....
Financial planning
ASIC has commenced proceedings against Wealth and Risk Management (WRM), and related companies Yes FP and Jeca....
Policy & Regulation
The Australian Securities and Investments Commission’s review of the mortgage broking industry suggests it is facing its own FOFA moment, particularly where commissions a...
Life/Risk
The corporate regulator would soon request life insurers to provide them with claims outcome data as part of their 2017 life insurance industry review, Peter Kell said....
Financial planning
The Australian Securities and Investments Commission has launched a financial literacy resource to build the financial capacity of Indigenous students....
News
ASIC will soon request claims outcome data from life insurers as part of their 2017 industry review, according to Peter Kell, Deputy Chair of ASIC. ...
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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,...