Search ResultsShowing 1 - 10 of 100+ results for "ASIC"
ASIC takes action against former AMP adviser
HARRISON WORLEY  |  THURSDAY, 5 DEC 2019
ASIC commenced civil proceedings against a former authorised representative of AMP accused of operating an unregistered managed investment scheme and using investor funds for themselves. The corporate regulator has taken action against former financial ...
Why joint effort is required in advice
ELIZABETH MCARTHUR  |  THURSDAY, 5 DEC 2019
... Association of Superannuation Funds of Australia, the Australian Financial Complaints Authority, the Tax Practitioners Board and ASIC were also in attendance. "As a wider profession we're acutely aware of trying to be more aligned and collaborate," ...
Regulators circle as scandal engulfs Westpac
ALLY SELBY  |  WEDNESDAY, 4 DEC 2019
... financing child exploitation in the Philippines and Southeast Asia. Byrnes said APRA is working closely with AUSTRAC and ASIC. "We are actively looking at the issues, but there is not as yet a formal investigation," Byres said. There are two sets of ...
ASIC bans direct life cold calling
HARRISON WORLEY  |  WEDNESDAY, 4 DEC 2019
The use of cold calling to sell direct life insurance will be prohibited in the New Year.. ASIC will ban unsolicited cold calling in life and consumer credit insurance sales from January 13 next year, following a period of consultation with industry ...
HUB24 announces new board appointment
ALLY SELBY  |  TUESDAY, 3 DEC 2019
... counsel with financial institutions such as MLC, where she served on the leadership team. Most recently, Stringer worked with ASIC and is currently engaged as a consultant to Herbert Smith Freehills. Stringer is passionate about improving the superannuation ...
Non-compliant personal advice rife at super funds: ASIC
JAMIE WILLIAMSON  |  TUESDAY, 3 DEC 2019
Just 49% of the files looked at by ASIC as part of its review of financial advice provided by super funds were found to be compliant with best interests duty. Reviewing the personal advice provided by 21 super funds, ASIC's Report 639: Financial ...
Former NAB, Infocus advisers banned
ALLY SELBY  |  MONDAY, 2 DEC 2019
ASIC has banned two former financial advisers for five years and one year respectively. Former NAB adviser Wendy Chapman and Brisbane-based former financial adviser Nina Katherina Williams were banned by the regulator last week. Chapman who has been ...
New tool launches to help FASEA code compliance
ELIZABETH MCARTHUR  |  MONDAY, 2 DEC 2019
... opportunity. One such organisation is MyNextAdvice, which has launched a solution to help licensees monitor adviser compliance. "ASIC has mandated that AFS Licensees are responsible for monitoring adviser compliance with the code until the Government ...
FASEA compliance has silver lining
KANIKA SOOD  |  FRIDAY, 29 NOV 2019
... sit down and think about it," she said. Good time for licensed advisers to stand up Haddan said the code, coupled with new ASIC guidelines, empowers not just independent advisers but those at a licensee. "They now have a powerful voice, to take it to ...
Super fund PDSs to include single cost of product figure
HARRISON WORLEY  |  FRIDAY, 29 NOV 2019
ASIC has updated its guidance to superannuation funds and issuers of managed investment products on fees and cost disclosure, with a suite of new requirements set to apply from late-2020. The corporate regulator released an updated version of Regulatory ...
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