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COMPLIANCE
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....
Financial planning
The Financial Planning Association has suggested naming and shaming to ensure compliance with the code of conduct applying to insurance within superannuation....
Financial planning
There is too much focus on the engagement piece rather than compliance when it comes to financial services firms embracing the digital advice path, Decimal believes....
Features
Laura Sullivan and Grant Holley compile seven lessons that will ensure financial firms comply with financial services laws....
Financial planning
Regtech has the potential to flag risk content in, say, statements of advice before it’s delivered to clients while an education piece could be attached for self-correcti...
Superannuation
SMSF members in the pension phase need to ensure they have met their minimum pension payments by 30 June, the SMSF Association warns....
Policy & Regulation
Regulatory and technological developments could aid in better detecting and responding to misconduct, according to Greg Medcraft....
Policy & Regulation
Union wants whistle-blowing laws to be extended to management conduct, practices, and behaviours....
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Podcast
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,...
increased professionalism within the industry - shouldn't that say, FAR register almost halving in the last 24 months he...