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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
ASIC's platforms review has drawn support from a range of stakeholders for proposing providing additional consumer protection via capital adequacy and for placing the spo...
Financial planning
The Coalition has expressed disbelief the FPA may have done a deal with the ISN conceding opt-in in exchange for other concessions including enshrining the term “financia...
Financial planning
The FPA has announced a series of educational workshops that will address recent poor results from ASIC's financial planning shadow shop....
Financial planning
The Administrative Appeals Tribunal has affirmed ASIC's decision to ban former Commonwealth Financial Planning adviser Don Nguyen from providing financial services for se...
Financial planning
One year after ASIC launched its MoneySmart website, budget and retirement planning applications have proved to be the most popular consumer tools for the website's users...
Financial planning
Financial services educators are aiming to be prepared for whatever changes may arise from the ASIC's CP153 consultation paper into education standards, even though no ne...
People & Products
PIS has appointed former FSP standards manager Steve Quine to manage risk and professional standards within the group, less than a week after several staff including the ...
Financial planning
With corporate insolvencies on the rise, there are a number of due diligence processes that Australian business owners can take to mitigate the risk of being left with un...
Financial planning
A banned Gold Coast financial adviser will return to court today to face 19 criminal charges including providing false or misleading statements and failing to have a reas...
Editorial
Concerns ASIC and APRA were becoming increasingly politicised were brought to a head during the hearings into the FOFA reforms....
Editorial
Ever since the first impact of the global financial crisis, both international and domestic regulators have been announcing changes to hedge funds, which would aim at imp...
Financial planning
Platform providers might be required to disclose their selection criteria for financial products included on their investment menu....
Financial planning
ASIC opts not to pursue action against Reserve Bank companies after receiving AFP report....
Financial planning
ASIC has banned a former Stonebridge Securities Limited broker from providing financial services for three years....
Financial planning
Ahead of the introduction of the Federal Government's carbon pricing regime, ASIC has released a regulatory guide outlining new licensing requirements for businesses prov...
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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,...