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ASIC
Financial planning
Breaches around structured products and advice see ASIC impose licence conditions on JB Global....
Superannuation
The ICAA has backed a stronger regime of SMSF auditor registration as being more effective than a competency exam....
Financial planning
The Australian Securities and Investments Commission (ASIC) has turned its attention to the inner workings of the investment research industry, including research houses'...
Financial planning
Peter Joyner and Associates has lost its Australian Financial Services Licence (AFSL) for failing to maintain adequate professional indemnity (PI) insurance, among other ...
Editorial
Frequent changes in the law mean compliance issues can often be a legal minefield. Here, lawyers David Court, Sonnie Bailey and Kathryn Wardrobe answer three frequently a...
Financial planning
Trustee companies will have more time to deal with disputes following ASIC's decision to update the complaints process....
Financial planning
Intra-fund advice will not be excluded from ASIC's shadow shopping exercise targeting retirement advice, which the regulator has announced will be revived again this year...
Superannuation
Retirement financial advice will soon be under scrutiny by ASIC, with the announcement that the regulator will resume its shadow shopping survey this year....
Financial planning
ASIC has signalled it will be looking closely at fast-growing financial planning businesses....
Funds management
In another win for Westpoint investors, the Australian Securities and Investments Commission (ASIC) has settled a compensation suit with KPMG and certain Westpoint Group ...
Financial planning
ASIC has announced that it will support businesses in flood-affected areas, despite the fact that the regulator’s Brisbane office has been closed due to the floodin...
Financial planning
ASIC accepted an enforceable undertaking from Professional Investment Services in December due to concerns over the firm’s compliance with its legal obligations....
Financial planning
A joint move by ASIC and APRA to suspend Trio Capital (formerly Astarra Capital) as trustee of four superannuation funds and a pooled super trust generated significant co...
Financial planning
The entry-level requirements for the provision of financial advice may soon be lifted from their very low base, with the corporate regulator undertaking consultation with...
Financial planning
ASIC agrees to use annual report to detail its use of coercive powers....
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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,...