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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Policy & Regulation
Platform provider HUB24 has restructured its investment service in response to the Government's proposed Future of Financial Advice (FOFA) reforms, becoming another playe...
Financial planning
When misconduct from within the financial services industry leads to investor loss and hardship, investors are often unaware of existing avenues of redress and do not pur...
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
The Australian Securities and Investments Commission (ASIC) has reminded superannuation trustees of changes to disclosure requirements regarding fund mergers....
Financial planning
A former Sydney financial adviser has pleaded guilty to six charges relating to fraud and dishonest conduct....
Editorial
ASIC did not receive more funding from last Tuesday's Budget but it can expect to do so in years to come as it takes on more responsibility for delivering and overseeing ...
Financial planning
The collapse of a managed investment scheme has led ASIC to ban a Victorian adviser for four years and suspend the licence of the firm he worked for....
Superannuation
Govt funds ATO and ASIC to tighten rules around SMSFs....
Financial planning
Financial services delivers mixed response to Budget measures....
Superannuation
Government earmarks $26.2 million towards development of MySuper....
Financial planning
The Australian Securities and Investments Commission (ASIC) has proposed a tightening of the rules around the financial requirements for issuers of over-the-counter deriv...
Financial planning
A Sydney-based derivatives dealer has been banned from providing financial services following an investigation into allegations of misleading conduct and conducting busin...
Financial planning
A Senate committee on competition in Australia's banking sector has recommended the Government reconsider its proposed ban on exit fees, with much industry support....
Financial planning
Two people have been banned from providing financial services for five and three years respectively, following separate investigations by the Australian Securities and In...
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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,...