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COMPLIANCE
People & Products
AdviserLogic has joined the RegTech space and launched AdviserLogic Dashboards, which would allow AFSLs to monitor the compliance of their advisers. ...
Policy & Regulation
ASIC has imposed additional conditions on the Australian financial services licence of Kaz Capital, following concern on the adequacy and effectiveness of the company’s c...
Financial planning
The Financial Adviser Standards and Ethics Authority has been urged to give professional associations leadership on continuing professional development with the SMSF Asso...
Financial planning
NEOS Life has appointed financial technology and infrastructure company, Sargon, as the new trustee of its Super Plan....
Financial planning
NAB chief executive, Andrew Thorburn, has defended some fees for no service charged by the bank as a “process issue” rather than dishonesty, as he came under fire at the ...
Financial planning
The Finance Sector Union has called for the current move to professionalisation to be extended beyond just planners, but has warned that there are issues with an industry...
Financial planning
Financial planners who breach the industry’s new code of conduct will face the ultimate sanction of exclusion from the industry under arrangements outlined in a new Finan...
Policy & Regulation
UBS Securities has been slapped with a $120,000 penalty by the regulator’s Markets Disciplinary Panel after it had reasonable grounds to believe that UBS contravened mark...
People & Products
Sydney-based RegTech company, TIQK, has partnered with Practifi, a business management platform for financial advice, to offer a new compliance solution. ...
Financial planning
The Australian Securities and Investments Commission has cancelled the AFS licence of Austplan, effective from 25 November....
Policy & Regulation
SEEK data has shown that the Royal Commission has led to a direct increase in compliance and risk roles being mandated by clients across all sub-segments of the financial...
Life/Risk
Allianz attempted to either change or kill two separate independent reports into its compliance procedures that were unfavourable to the insurer’s processes, the Royal Co...
Life/Risk
The Royal Commission has heard that Allianz is checking past compliance issues to see if they should have been reported to a regulator, in addition to its approximately 1...
People & Products
IRESS has integrated its data and analytics solution with XPLAN in response to fee-for-no-service concerns raised by the Banking Royal Commission. ...
Policy & Regulation
The regulator said it has completed a compliance review and remediation program, and removed additional licence conditions, for Total Financial Solutions Australia....
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Podcast
So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...