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Regulatory

ASIC releases draft super benefits calculator guidelines

ALEX DUNNIN  |  WEDNESDAY, 20 MAR 2013
ASIC has issued a discussion paper on its proposed policy for superannuation forecast calculators that clarifies assumption the regulator wants fund trustees to include.

ASIC steps up investigation into SMSF fraud

MARK SMITH  |  WEDNESDAY, 20 MAR 2013
The Australian Securities and Investment Commission has successfully obtained court orders to liquidate two Queensland-based self-managed super fund (SMSFs) advice business accused of misleading investors.

ASIC eases fears on high frequency trading

MARK SMITH  |  MONDAY, 18 MAR 2013
The Australian Securities and Investments Commission (ASIC) has said in a new report that fears related to high frequency trading (HFT) are mostly unfounded.

ASIC imposes AFSL conditions on Lionsgate

ALEX DUNNIN  |  THURSDAY, 7 MAR 2013
ASIC has imposed additional conditions on the Australian financial services licence of NSW-based Lionsgate Financial Group Pty Ltd following a surveillance of its advice business.

New UK fin services watchdog polls public

ALEX DUNNIN  |  WEDNESDAY, 6 MAR 2013
Following the SEC's direct appeal to the public for information, the incoming Financial Conduct Authority in the UK is asking the public for input about what information they'd like the regulator and the financial services industry to disclose.

SEC consults direct to the public

ALEX DUNNIN  |  TUESDAY, 5 MAR 2013
The Securities and Exchange Commission in the US is appealing directly to the public in a review of whether to make new rules about regulatory obligations for broker-dealers and retail investment advisers.

New approved audit forms now available

ALEX DUNNIN  |  FRIDAY, 1 MAR 2013
APRA has released the Approved Audit Report Form for superannuation funds with reporting periods commencing on or after 1 July 2012.

ASIC speeds up misconduct probe

MARK SMITH  |  WEDNESDAY, 27 FEB 2013
The Australian Securities and Investments Commission (ASIC)'s latest report on the supervision of markets and participants shows that the regulator has significantly reduced the time it takes to start investigations of suspicious market conduct.

ATO upgrades SMSF and SuperSeeker website

ALEX DUNNIN  |  TUESDAY, 26 FEB 2013
The Australian Taxation Office is conducting a survey of SMSF trustees to investigate if it should put more SMSF tax interpretations on their website.

Two liquidators punished by ASIC

BEN COLLINS  |  TUESDAY, 26 FEB 2013
Australia's corporate watchdog has taken action against two liquidators in separate cases.