regulation

Policy & Regulation

Former analyst pleads guilty to insider trading

NSW-based Michael Ming Jinn Ho, a former investment analyst, has pleaded guilty to insider trading in securities of Big Un Limited....

Expert Analysis

What this year holds for low-cost funds

The new regulatory and education changes for financial advisers may lead to more demand for low-cost funds, Evan Reedman writes. ...

Financial planning

Govt should fund review of advice regulation – CPA Australia

The Federal Government should fund a review of the tangle of regulation covering the provision of financial advice in circumstances were accountants and advisers are bein...

Financial planning

Limited licensing has failed claims SMSF Association

The SMSF Association wants the Government to dump its limited licensing regime for accountants on the basis of it having failed to meet its objectives and having, instead...

Financial planning

Impact of reforms on planners is ‘catastrophic’

After two decades of stress and pressure from reforms, planners are now facing their own economic uncertainty as many will exit the industry in the new year, according to...

Funds management

2020 concerns for increasing regulation

While wealth managers expected an improved year in 2020, their employees expected to be more stressed in the new year, according to a survey....

Policy & Regulation

APRA appoints five for executive roles

The Australian Prudential Regulatory Authority has announced a new organisational structure, including several new executive appointments....

Policy & Regulation

ASIC refuses to reveal its methods

High risk hedge funds are still under scrutiny by the Australian Securities and Investments Commission but the regulator is refusing to reveal how it is going about its b...

Policy & Regulation

ASIC fines publisher over misleading promo guide

The Australian Securities and Investments Commission has found Port Phillip Publishing (PPP) and its former director Kristan Sayce liable for printing a misleading guide ...

Policy & Regulation

ASIC wealth management investigations soar by 216%

The Australian Securities and Investments Commission has increased investigations into wealth management by 216 per cent in the last six months....

Policy & Regulation

Regtech demonstration shows future of compliance

Regtech companies have showcased the power of their technology at the ASIC Regtech Monitoring Financial Promotions symposium, to show the future of compliance....

Policy & Regulation

APRA urged to be more forceful

A critical Government-commissioned review of the Australian Prudential Regulation Authority appears likely to see it adopting a more overtly forceful approach based on st...

Financial planning

Call for single planner regulatory regime

The Financial Services Council has called on the Government to use a review of the Tax Practitioners Board to align and streamline the financial planner regulatory regime...

Policy & Regulation

TPB warns on unregistered tax agents

The Tax Practitioner’s Board has issued a warning that people who use unregistered tax agents do not receive safe harbour protections when things go wrong....