POWERED BY MOMENTUM MEDIA
COMPLIANCE
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...
People & Products
Dealer group Infocus Money Management has recruited Lyn Dixon as the new head of professional standards and compliance, to support, supervise and train advisers in the fi...
Financial planning
Fast-expanding dealer groups may need to look at outsourcing technical and strategic advice solutions in order to retain a high standard of support for advisers and stay ...
Editorial
The Financial Ombudsman Service (FOS) no doubt believes it is doing a good job – and it is certainly operating within the guidelines laid down by ASIC – but i...
Editorial
Paul Derham explains the important role a compliance committee plays in reducing regulatory and operational risk for licensees....
Financial planning
A former Commonwealth Financial Planning representative has been banned by ASIC for seven years for giving inappropriate advice and engaging in false or misleading conduc...
Financial planning
ASIC accepted an enforceable undertaking from Professional Investment Services in December due to concerns over the firm’s compliance with its legal obligations....
Financial planning
Clearview Wealth has made two new senior management appointments that will boost its marketing and compliance teams....
Financial planning
Aviva Investors has signed another two-year deal with administration provider, OneVue....
Superannuation
The Australian Taxation Office has revealed the degree to which compliance activity has escalated with the growth in SMSFs....
Financial planning
Offering individually managed accounts to high-net-worth clients can be a scalable solution for financial advisers, writes Damian Graham....
Financial planning
Russell Investments is launching an expanded manager due diligence service, combining traditional research and selection of investment managers with investment program ma...
Financial planning
The ATO believes its Project Wickenby crackdown has succeeded in changing attitudes to tax havens....
Financial planning
After the ownership changes of recent years, Genesys Wealth Advisers is now paying full attention to its member firms....
Financial planning
ASFA wants superannuation guarantee changes aimed at ensuring some of the nation's most vulnerable workers are not missing out on superannuation entitlements....
Never miss the latest news and developments in wealth management industry
MARKET INSIGHTS
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...