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ASIC
Financial planning
South Australian finance broker and a Victorian auditor removed from industry after compliance failures....
Financial planning
ASIC warns of best interest duty breaches where dealer groups take a ‘cookie-cutter’ approach....
Life/Risk
ASIC deputy chairman Peter Kell has used his speech at the AFA national conference to announce major surveillance of retail advice with respect to life insurance. ...
Funds management
An accountant involved in the collapse of Dollarforce Financial Services has been sentenced after being charged with making false and misleading statements....
Funds management
Regulator removes five timber schemes after manager struggles with tough year....
Financial planning
ASIC chairman Greg Medcraft defends ASIC’s record, claiming the media misunderstands the regulator’s relationship with the AFP....
Financial planning
Existing levels of adviser education should be considered a pathway to degree level qualification....
Editorial
The Federal Treasurer, Joe Hockey, has signalled a “son of Wallis” review of the Australian financial system and, as Mike Taylor writes, the industry is already starting ...
Funds management
The Australian Securities and Investments Commission (ASIC) has changed the definition of ‘hedge fund’ in a bid to tighten disclosure requirements for higher-risk schemes...
Funds management
ASIC confirms GTL TradeUp has entered liquidation....
Financial planning
Perth-based Chambers Investment Partners has had its Australian financial services licence cancelled after the company failed to obtain professional indemnity insurance a...
Financial planning
ISA and AIST call for simpler process around lifting advice qualification standards....
Financial planning
Sonray director Russell Johnson faces sentencing next month after pleading guilty to seven ASIC charges in the Victorian Supreme Court....
Financial planning
FPA to make submission around transparency and consistency of dispute resolution scheme....
Financial planning
ASIC claims to have been misinterpreted and that it will now consider matters relating to the RBA/Iraq bribery allegations....
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MARKET INSIGHTS
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...