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ASIC
Superannuation
ASIC’s SMSF taskforce finds some disturbing features within low-balance SMSFs....
Financial planning
ASIC has accepted an enforceable undertaking from WA-based dealer group WealthSure, with former CEO Darren Pawski banned from the industry....
Financial planning
Following calls by the FPA for industry to work together in raising awareness around the benefits of financial advice, both ASIC and the FOS have given their support to F...
Superannuation
ASIC’s Medcraft claims SMSFs are particularly at risk with respect to hybrid securities....
Financial planning
Some sections of the financial planning industry do not have a full understanding of what research houses do and to what extent their ratings can be relied upon. ...
Life/Risk
Former insurance adviser admits filing false applications for commission earnings. ...
Rate the raters
If a product receives a glowing review by a research house and subsequently fails, should the research house be partly responsible? The Parliamentary Joint Committee rece...
Financial planning
A US-based online brokerage has ceased providing new margin loans to its Australian clients following an investigation into the conditions of its AFSL....
Financial planning
Regulator concerned about adequacy of trader's market risk management systems ...
Financial planning
The former chairman of failed Tasmanian timber company Gunns Limited has been convicted of insider trading and fined $50,000 following an investigation by the Australian ...
Financial planning
A major law firm has warned Australian consumers against taking advice from bank financial planners....
Financial planning
Education provider confident licensees can choose quality training without regulator oversight....
Financial planning
The latest ASIC Market Supervision Report reveals practices amongst securities dealers which might make a planner blush. ...
Financial planning
A former mortgage broker and financial services representative has been permanently banned after engaging in dishonest conduct. ...
Financial planning
An Investment Trends survey conducted two months before FOFA came into effect revealed only 23 per cent of financial planners felt ready....
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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,...