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ASIC
Policy & Regulation
ASIC has outlined its regulatory approach on the key questions of best interests and scaled advice, including the "safe harbour" elements....
Policy & Regulation
A former Sydney tax consultant has been sentenced to two years in jail for insider trading, in which it was alleged he profited to the tune of about $50,000....
Superannuation
SPAA argues against codes based purely on obviating opt-in or being approved for licensees or dealer groups....
Superannuation
Auditors of SMSFs have been given regulatory guidance on how to register with ASIC ahead of the 31 January start date of a Stronger Super registration scheme....
Funds management
Praemium will take over as responsible entity of BlackRock's separately managed account scheme, with BlackRock to focus on providing asset management and risk management ...
Financial planning
ASIC announces targeted surveillance of research providers under new policy approach....
Funds management
ASIC has extended the interim class order relief from the short product disclosure statement (PDS) regime for multi-funds, superannuation platforms and hedge funds....
Life/Risk
Some insurance and credit comparison websites are not properly licensed to provide financial services, according to ASIC....
Financial planning
A former JP Morgan Chase employee and her friend have been sentenced by the District Court of New South Wales for engaging in insider trading....
People & Products
In line with strategic changes to its operations, Professional Investment Services (PIS) has made three senior management appointments....
Financial planning
ASIC is concerned about the number of breaches of basic client money-handling practices in the CFD and margin FX sector, according to Commissioner Greg Tanzer....
Financial planning
A former licensed finance broker from Western Australia has been permanently banned from providing financial services and engaging in credit activities....
Editorial
As the planning industry considers ASIC’s consultation paper on conflicted remuneration, Paragem's Ian Knox argues that the spoils will likely go to those with the most t...
Superannuation
The Australian Securities and Investments Commission (ASIC) may need to revise the $200,000 figure it placed on the success of self-managed super fund (SMSF) starters aft...
Financial planning
A Storm Financial adviser has been permanently banned by the regulator after it was found he failed to comply with financial services laws....
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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...