AUSTRALIAN FINANCIAL SERVICES LICENCE

Financial planning

With or without code monitoring bodies or a single disciplinary body, some licensees have been breach-reporting to ASIC on adviser code breaches....

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Policy & Regulation

The Australian Securities and Investments Commission has fired a shot over the bows of real estate agents who have been providing ‘advice’ to hard-pressed tenants about a...

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Financial planning

The Australian Securities and Investments Commission has announced that entities who sell funeral expenses facilities will be required to hold an Australian financial ser...

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Financial planning

Firms looking to structure its group purchasing arrangements should look to alternatives as the group purchasing body relief might be replaced soon....

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Financial planning

The Australian Securities and Investments commission has cancelled the Australian financial service licence of KP International Group Australia due to resignation of all ...

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Funds management

The Australian Securities and Investments Commission has taken further steps to wind up Chris Marco’s alleged unregistered managed investment scheme....

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Policy & Regulation

Platinum Perpetual Globe Private Wealth has lost its Australian financial services licence after charges brought by Western Australian police....

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Features

The financial services regulator responded to Royal Commission criticism with a ‘why not litigate?’ approach. Jassmyn Goh finds out what this means for advisers and how t...

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Financial planning

The AAT has affirmed ASIC’s to ban Mark Menzies from providing financial services, after he had engaged in manipulation of the price of MINI Warrants commonly known as “M...

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Policy & Regulation

The Australian Securities and Investments Commission has issued another clear warning to retail Over the Counter derivatives traders about the limitations of their licens...

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Policy & Regulation

Insurance claims handling should not be encumbered by the same obligations as financial advice because it would risk making it unaffordable to super fund members, accordi...

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Financial planning

The Australian Securities and Investment Commission has imposed additional licence conditions on SMSF Advisers Network....

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Financial planning

Brisbane-based financial planning firm, Futuro Financial Services has declared an end to his long-running AMP relationship....

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Policy & Regulation

The new industry funding model for the Australian Securities and Investments Commission will see financial planning licensees and credit providers carrying some of the gr...

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Policy & Regulation

The securities regulator has banned Yossef Ashkenazi of Victoria from providing financial services for a period of eight years....

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MARKET INSIGHTS

Interesting. Would be good to know the details of the StrategyOne deal....

4 days 4 hours ago

It’s astonishing to see the FAAA now pushing for more advisers by courting "career changers" and international recruits,...

3 weeks 2 days ago

increased professionalism within the industry - shouldn't that say, FAR register almost halving in the last 24 months he...

4 weeks 1 day ago

Insignia Financial has made four appointments, including three who have joined from TAL, to lead strategy and innovation in its retirement solutions for the MLC brand....

2 weeks 4 days ago

A former Brisbane financial adviser has been charged with 26 counts of dishonest conduct regarding a failure to disclose he would receive substantial commission payments ...

3 days 3 hours ago

Pinnacle Investment Management has announced it will acquire strategic interests in two international fund managers for $142 million....

2 days 6 hours ago