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ASIC
Financial planning
ASIC has suspended the licence of boutique advice firm Australian Performance Financial Planning for three months because the company has been put under the control of an...
Editorial
Despite its relatively small size, solid growth in recent years has made the exchange-traded fund (ETF) space the envy of managed funds and some of the other sectors. Fre...
Editorial
If auditors are, indeed, the eyes and ears of the regulators in the SMSF sector, Liz Westover writes that the new auditor registration regime will prove to be crucial as ...
Financial planning
The industry's existing codes of conduct will require 'pretty radical surgery' before ASIC is likely to deem them sufficient, says Mallesons senior associate Michael Math...
Policy & Regulation
The financial services industry may be obliged to dig deeper to fund the implementation of the Government's Future of Financial Advice changes as well as its Stronger Sup...
Life/Risk
Following consultation with ASIC, Elders Insurance has repaid customers around $5.3 million as part of a program to rectify underpayments on motor vehicle insurance claim...
Financial planning
Financial Services Council sponsored research accuses unions and financial planners of "gaming" the default superannuation fund regime....
Financial planning
A former senior client advisor with Bell Potter Securities Limited, Glenn Russell Evans, has been charged with 15 counts of fraudulent conduct involving more than $1.06 m...
Financial planning
Company collapses have risen by 117 per cent to 1,123, reflecting a continuing 'lag effect' from the economic woes of the global financial crisis, according to research b...
Editorial
Some of the players might not approve of the way in which the FOFA bills will ultimately be shaped but, as Mike Taylor reports, a Money Management roundtable has conclude...
Financial planning
ASIC has banned a former Commonwealth Financial Planning adviser from providing financial services for five years, making it three former Commonwealth advisers banned in ...
Financial planning
ASIC is undertaking a compliance program to assess the information lodged by Australian credit licensees (ACLs) in their annual compliance certificates....
Policy & Regulation
The Financial Services Council and Association of Financial Advisers have joined together to provide a forum looking at life in a post-FOFA financial planning world....
Financial planning
ASIC has accepted a permanent undertaking from an Adelaide-based financial adviser to permanently refrain from providing financial services....
Financial planning
Nomura Australia has paid a $30,000 penalty to ASIC after receiving a market infringement penalty from ASIC's Markets Disciplinary Panel....
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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...