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ASIC
Funds management
Disillusionment with the funds management industry and a hunger for transparency among clients is fuelling a move towards direct equities....
Editorial
Amid the fall-out from Trio Capital it has been suggested that financial planners be required to warn clients establishing SMSFs that they are entering a higher risk envi...
Funds management
A former director of fund manager Sovereign MF has been banned from providing financial services for four years....
Financial planning
Updated regulatory guidance for applying for an Australian financial services licence (AFSL) removes the requirement to submit paper versions of documents lodged electron...
Editorial
The dust has well and truly settled on the Federal Budget but, as Liz Westover writes, the Government needs to accept that its actions have served to confuse Australians ...
Financial planning
The Australian Securities and Investments Commission has urged investors to avoid Connaught Investment Group....
Financial planning
Two men have pleaded guilty in the Downing Centre Local Court in Sydney to operating a Ponzi scheme called the Integrity Plus Fund....
Financial planning
ASIC has confirmed it has increased its efforts to better understand the inner workings of the financial planning industry by recruiting from within the sector....
Financial planning
Norman John Graham, a former managing director of stockbroking firm Lonsec, has appeared in the Magistrates' Court of Victoria in Melbourne, charged with 14 counts of ins...
Editorial
In the wake of concerns about APRA's handling of the collapse of Trio Capital it has emerged that the regulator has little or no idea how well superannuation funds perfor...
Financial planning
ASIC is taking ongoing regulatory action against a number of financial planners who 'breached the law' in relation to Trio Capital....
Financial planning
ASIC has offered relief to trustee companies engaging in intrafund transfers, releasing approval criteria and unifying prior State and Territory requirements....
Financial planning
In the latest outcome of its investigation, ASIC has accepted an enforceable undertaking from former Commonwealth Financial Planning employee Joe Chan. ...
Policy & Regulation
ASIC confirms it was consulted in negotiations involving the Financial Planning Association around last minute-changes to FOFA....
Superannuation
The time has come for a total rethink about how investors are looked after when there is a 'Trio Capital', according to SPAA's Peter Burgess....
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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,...