There is no reason why the Australian Securities and Investments Commission (ASIC) should not approve a code of conduct for a single licensee or dealer group, says Minter...

There has been a tendency to forget about the ACCC ever since the regulation of consumer protection in the financial services industry moved to ASIC in 2001. But as Grant...

The Financial Services Council has hit back at Industry Super Network criticism of its superannuation governance policy, claiming it adopts the highest standards availabl...

Sonnie Bailey explores some of the sources of regulation which extend beyond what financial planners may think of as ‘regulation’, in the narrow sense of the term....

ASIC has released a consultation paper outlining new requirements for managing conflicts of interest in relation to proof of debt schemes....

The Australian Securities and Investments Commission (ASIC) has issued guidance to promoters of 'crowd funding' in order to provide clarity on arrangements that may fall ...

Despite welcoming the Government's decision to defer the proposed ban on off-market transfers between SMSFs and related parties where a market exists, SPAA continues to l...

The SMSF Professionals' Association of Australia is continuing to advocate tighter legislative controls around off-market transfers, despite the Government's decision to ...

The Association of Financial Advisers has urged a uniform 1 July, 2013 FOFA start date as another legal anomaly has been identified....

It may be as late as mid-2013 before the new accountants' advice regime is up and running....

ASIC has revealed that there is a large percentage of over-the-counter derivative providers who are not following appropriate client money procedures, according to Capita...

The option of using a record of advice has been available to financial advisers for a number of years. Samantha Hills clears confusion as to why planners would use one, w...

The financial services regulator is continuing its review of financial requirements for product issuers in various sectors of the industry, with a number of consultation ...

Compliant industry codes of conduct deemed to obviate the need to comply with opt-in requirements will have to meet a hefty set of criteria, according to ASIC commissione...