ASIC

Superannuation

The complexity of the self-managed superannuation fund (SMSF) space is rapidly outpacing SMSF auditors, according to Chan and Naylor director of financial planning David ...

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Financial planning

ASIC Commissioner Peter Kell has told Money Management that while introducing licensee-specific codes of conduct is an option, it could be a costly and complicated proces...

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Financial planning

A PIS adviser has been banned for three years for failing to comply with financial services laws....

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Financial planning

Professional codes of conduct should be the responsibility of financial services licensees rather than industry associations in order to be fairer to consumers, according...

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Financial planning

AFA signals it will be working to align its Principles of Practice with the outline contained in ASIC consultation paper....

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Financial planning

The FPA says its upgraded professional code of conduct will be ready to go as soon as ASIC has finalised the new requirements....

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Financial planning

The Financial Planning Association has announced changes to its Code of Professional Practice in order to bring it in line with the Australian Securities and Investment C...

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Financial planning

ASIC has released a consultation paper to determine how a professional code of conduct will obviate the need for a financial adviser to comply with opt-in provisions cont...

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Superannuation

The Government has opted for only limited impacts on superannuation in its MYEFO approach, but has increased the SMSF levy....

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Financial planning

ASIC report reinforces importance of EDR process despite debt recovery processes against clients....

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Financial planning

With major legislative change set to occur, the role software, technology and new media are playing in financial planning today is unprecedented....

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Financial planning

ASIC has cancelled the AFSL of Australian Performance Financial Planning, after already suspending that licence earlier this year when the firm went into administration....

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Financial planning

Law firm Slater & Gordon said the changes put forward by the ASX to continuous disclosure would present "a plus" for investors, claiming much of the grey area will be rem...

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Financial planning

The industry should have a clearer idea within the next two weeks of how a code of conduct will obviate the need for opt-in....

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Financial planning

A legal challenge to a Financial Ombudsman Service determination regarding client losses in frozen unlisted investments has been dismissed by the Western Australian Supre...

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