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Financial planning
Temporary measures allowing financial advisers to provide a Record of Advice rather than a Statement of Advice will cease from 15 April after two years, the regulator has...
Superannuation
Superannuation trustees have revised their policies after the Australian Securities and Investments Commission found a lack of oversight and control measures in relation ...
Financial planning
The Australian Securities and Investments Commission has taken action against Macquarie Bank for failing to adequately monitor and control transactions by third parties, ...
Policy & Regulation
The Australian Securities and Investments Commission has banned Melbourne-based adviser Mark Christopher Babbage from providing financial services or engaging in credit a...
Financial planning
While guidance for advisers is welcome, the onus is also on the Government to educate consumers on how much weight they should give finfluencers versus licensed professio...
Policy & Regulation
The Australian Securities and Investments Commission has confirmed 10 financial advice misconduct criminal cases are before the courts with six civil cases also yet to be...
Financial planning
The percentage of candidates who passed February’s financial adviser exam, the first one under the Australian Securities and Investments Commission, has fallen to 32.4%. ...
Financial planning
The regulator’s guidance on ‘finfluencers’ is welcome but more needs to be done to protect consumers, according to Stockspot, including banning them from product commissi...
Policy & Regulation
The Australian Securities and Investments Commission has commenced surveillance into the marketing of managed funds following recent enforcement against fund managers mis...
Financial planning
The Australian Securities and Investments Commission has warned Australian financial services licensees that they could be liable for misconduct if they work with financi...
Financial planning
The acquisition has brought a new combined entity of WT Financial Group and Synchron to 560 advisers, as per Australian Securities Investment Commissions’ Financial Advis...
Policy & Regulation
The regulator has permanently banned former authorised representative, Roderick Halligan, from providing financial services for contravening financial services laws and f...
Financial planning
The Australian Securities and Investments Commission announced the dates for the next three sittings of the financial adviser exam which will be held between in May, July...
Financial planning
The Australian Prudential Regulation Authority and the Australian Securities and Investments Commission have published information on the implementation pathway for the R...
Financial planning
As assets in environmental, social and governance funds reach $3 billion, the regulator is conducting a review into ‘greenwashing’ in funds. ...
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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,...