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ASIC
Financial planning
ASIC chair, Joe Longo, has told advisers there is little the corporate regulator can do to improve the financial adviser exam, despite negative feedback from candidates....
Financial planning
Consumer group CHOICE says the timeshare industry is now on notice following the Federal Court’s first-ever decision against a timeshare provider for failing to ensure fi...
Policy & Regulation
Ezzat-Daniel Nesseim has been sentenced to a three-year intensive correctional order for engaging in dishonest conduct and providing falsified documents to ASIC....
Financial planning
A former financial adviser of Tasmania has been charged with 17 offences for falsifying documents to transfer shares. ...
Financial planning
Australian financial services licensees are no longer required to notify ASIC of a professional year arrangement between themselves and a new entrant....
Financial planning
RI Advice may have avoided a penalty for its breach of cybersecurity risks but future breaches could incur a penalty as high as $525 million, according to the regulator....
Financial planning
In an Australian first, the Federal Court has found RI Advice breached its license obligations to act efficiently and fairly when it failed to have adequate risk manageme...
Policy & Regulation
Dr Roger Munro has been sentenced to four and a half years imprisonment after pleading guilty to three counts of fraud....
Expert Analysis
General advice may help you reach a broader audience, but personal advice provides a better way to meet client needs and manage compliance risk, writes Steve Davison....
Policy & Regulation
Westpac has been ordered to pay penalties of $113 million for compliance failures in banking, superannuation, wealth management and insurance....
Policy & Regulation
ASIC has suspended the Australian Financial Services (AFS) licence of Dixon Advisory & Superannuation Services Pty Limited....
Outsider
It is well-known that Outsider is always up for a celebration, so he is breaking out the champers for an unusual anniversary noted by the Senate Estimates committee. ...
Features
Liam Cormican explores what factors might have driven a higher proportion of people to fail the Australian Securities and Investments Commission’s first financial adviser...
Outsider
It is well-known that Outsider is always up for a celebration, so he is breaking out the champers for an unusual anniversary noted by the Senate Estimates committee....
Financial planning
Data from ASIC has revealed the numbers of advisers on the Financial Adviser Register who are still yet to pass the financial adviser exam with only three sittings remain...
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Podcast
So shareholders lose a dividend plus have seen the erosion of value. Qantas decides to clawback remuneration from Alan ...
This is why I left my last position. There was no interest in giving the client quality time, it was all about bumping ...
So the Hayne Royal Commission has left us with this. What a sad day for the financial planning industry. Clearly most ...