JAMIE WILLIAMSON  |  WEDNESDAY, 29 MAR 2017   1:07PM
ASIC has formed a committee comprising practicing financial advisers in a bid to improve the advice industry's engagement with the regulator.
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ASIC releases RE compliance obligations
KARREN VERGARA  |  TUESDAY, 28 MAR 2017   12:23PM
The Australian Securities and Investment Commission is urging responsible entities to maintain adequate risk management systems to avoid any adverse consequences for investors.
ASIC cancels AFSL licences
EMMA RAPAPORT  |  MONDAY, 27 MAR 2017   12:41PM
ASIC cancelled the Australian financial services licenses of two financial services companies for failure to comply with a number of key obligations.
Former adviser cops ASIC reprimand
JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017   12:20PM
A former Macquarie Equities Limited adviser agreed to not provide financial services for four years as part of an enforceable undertaking by ASIC.
Barclays fined following ASIC investigation
JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017   12:10PM
ASIC accepted enforceable undertakings from three Barclays foreign financial service providers for failing to inform Australian clients they were exempt from holding an AFSL.
CommInsure cleared of medical misconduct
ALEX BURKE  |  THURSDAY, 23 MAR 2017   12:36PM
ASIC's investigation into CommInsure found no evidence of claims managers applying pressure on medical staff to change assessments, although the regulator said claims handling fell short of community expectations.
ASIC permanently bans Queensland adviser
KARREN VERGARA  |  THURSDAY, 23 MAR 2017   12:20PM
The Australian and Securities and Investment Commission permanently banned a former Anne Street Partners financial planner for engaging in deliberate acts of dishonesty.
Crowdfunding legislation gets greenlight
KARREN VERGARA  |  WEDNESDAY, 22 MAR 2017   12:31PM
The newly passed equity crowdfunding legislation will give businesses unprecedented access to alternate sources of capital - an opportunity many have been waiting for, according to FinTech Australia.
Future retirement products aided by tax exclusions
JAMIE WILLIAMSON  |  TUESDAY, 21 MAR 2017   12:44PM
The Federal Government's latest development of regulation for new retirement income streams is now open for public consultation.
Adviser contravenes FoFA obligations
EMMA RAPAPORT  |  MONDAY, 20 MAR 2017   12:37PM
A Melbourne based financial advice provider is to appear in the Federal Court of Australia for alleged contraventions of the Future of Financial Advice obligations.
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EMMA RAPAPORT
The Productivity Commission has released its anticipated draft report on alternative default models in superannuation, looking at ways to introduce more competition in a system where members do not exercise fund choice.
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Following research into the future of product innovation and development, Nikko Asset Management Australia has created a new executive role to drive the firm's product agenda.
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New-York based financial firm Goldman Sachs is planning to launch an ETF which will invest in high-yield corporate debt, according to documents filed with the US Securities and Exchange Commission.
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Two Contango MicroCap (CTN) directors were removed following an extraordinary general meeting and a third resigned prior to resolutions being passed.
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