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ASIC
Financial planning
ASIC wants retail investors to better understand the conditions and risks of hybrid securities and unsecured notes....
Financial planning
ASIC chairman Greg Medcraft has flagged surveillance around residential mortgage backed securities (RMBS) disclosure standards in 2012....
Financial planning
The financial services regulator has raised several concerns with respect to financial advice provided at the Australian Financial Services (AFS) Group, and will impose a...
Financial planning
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking from Commonwealth Financial Planning (CFP)....
Superannuation
The Federal Opposition has succeeded in having ASIC review the latest ISN television advertising campaign....
Financial planning
Former Sonray Capital Markets chief executive officer Scott Kenneth Murray has been sentenced to 5 years jail by ASIC after pleading guilty to 10 charges of fraud....
Financial planning
The Australian Securities and Investments Commission (ASIC) believes the liability for scaled online financial advice should fall on a financial planner, but a lack of sp...
Life/Risk
The way professional indemnity (PI) underwriters assess a financial planner's risk coupled with ambiguous regulatory guidelines means a fresh approach to product regulati...
Life/Risk
ASIC has permanently banned a Tasmania-based insurance agent from providing financial services after being convicted of fraud offences....
Funds management
Centuria Property Funds has come out in support of the Australian Securities and Investments Commission's (ASIC's) proposals to improve disclosure in the unlisted propert...
Financial planning
The Australian Securities and Investments Commission has released a consultation paper and draft regulatory guide for the advertising of financial products and advice....
Financial planning
The Government has announced the proposed new fee model to raise around $18 million to have the industry fund ASIC's market supervision activities....
Financial planning
The Australian Securities and Investments Commission (ASIC) has entered into enforceable undertakings (EUs) with the remaining two former directors of Trio Capital, Keith...
Financial planning
A former company director of Financial Partners Pty Ltd has been committed to stand trial on 14 charges of dishonest conduct involving investor funds, according to the Au...
Financial planning
ASIC has released a regulatory guide for contracts for difference (CFD) issuers in order to provide greater disclosure to investors....
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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,...