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People & Products
The Auditing and Assurance Standards Board (AUASB) has reappointed chair Merran Kelsall for a further three-year term....
Financial planning
Former Macquarie Equities client adviser, Newton Chan, has been sentenced to 20 months in jail after an ASIC investigation revealed he manipulated the share price of Bill...
Financial planning
The Sydney law firm bringing a class action against the Commonwealth Bank of Australia on behalf of Storm Financial clients has asserted the bank is trying to exclude it ...
Financial planning
The Australian Securities and Investments Commission (ASIC) has put the spotlight on contracts for difference (CFD) due to the increasing popularity of this risky product...
Financial planning
The Australian Securities and Investments Commission (ASIC) has welcomed the announcement that it will take over the market supervision role of the Australian Securities ...
Financial planning
The founders of Sonray Capital Markets have been grounded while investigations into the advice firm's collapse continue....
Financial planning
The Australian Securities and Investments Commission (ASIC) has released guidance to clarify dispute resolution requirements for unlicensed carried over instrument (COI) ...
Financial planning
An education and research fund has slipped though the cracks in the imminent transition of market supervision from the Australian Securities Exchange (ASX) to the Austral...
Financial planning
The corporate regulator has issued a warning to both listed and unlisted companies on creative and inadequate financial reports in the lead up to the reporting season, wi...
Financial planning
Delia Rickard takes control of the supervision of financial advisers while former FPA executive Gerard Fitzpatrick takes responsibility for investment managers and supera...
Editorial
Many of the MySuper proposals are flawed, according to Robert Keavney, including the reduction of disclosure to members and the introduction of the concept of 'optimal' i...
Financial planning
ASIC will today start issuing credit licences after a three-month registration process that saw almost 15,000 applications....
Financial planning
The Administrative Appeals Tribunal has upheld ASIC's decision to ban Queensland broker Clive Henley from providing financial services for three years....
Financial planning
A number of the weaknesses in smaller financial planning firms are rooted in a lack of understanding of their target client base, according to practice management consult...
Financial planning
ASIC warns that it is already monitoring end of year trades in real-time and will be vigilant with respect to price manipulation aimed at generating performance fees....
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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,...