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Everything from AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

Record-keeping in financial advice – the key to compliance and consumer protection

From AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

Introduction The financial services regulatory framework is a key pillar of financial consumer protection. Regulatory compliance is therefore not merely about avoiding penalties, but is a critical step in building

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03 Mar 2025

Private markets and alternatives – consumer protection challenges

From AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

Introduction Interest in alternative assets – including private markets and infrastructure – has surged in recent years, a strong growth trajectory that is expected to continue well into the future.

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10 Feb 2025

2025 Regulation and compliance schedule – what advisers must know

From AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

The evolution of the regulatory framework for financial advice will continue at pace in 2025, giving advisers and licensees little respite from changes which can impact them, their businesses, and

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23 Jan 2025

Consumer protection brief – advisers at the frontline of preventing financial abuse

From AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

Introduction Financial Abuse is a major societal problem, regarded by many observers, and some states, as a form of domestic violence. Although recognised in Commonwealth law, in most Australian jurisdictions

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03 Dec 2024

Do longer SOAs break the law? When is an ROA more appropriate? (And other key questions about the communication of advice)

From AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

Introduction Disclosure is recognised as a key pillar of financial consumer protection. Transparent communication around product features, fees, and investment performance obviously helps consumers make informed choices when deciding to

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11 Nov 2024

ASIC’s enforcement priorities – practical adviser implications

From AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

ASIC is fundamentally a consumer protection agency. The various functions it performs, including market oversight, surveillance, enforcement and education, ultimately all roll up to one core purpose – ensuring good

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01 Oct 2024

ASIC Report 779 – adviser obligations re superannuation underperformance

From AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

Introduction Superannuation is one of the key pillars of Australian retirement incomes policy, and for many Australians will represent their most significant asset outside their home. As such, recent years

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01 Aug 2024

Compliance primer – Crypto regulatory reform, consumer implications

From AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

Introduction Still regarded with suspicion by many, cryptocurrencies have continued to grow in popularity in Australia. Despite losing value by more than 60% in 2022[1], Bitcoin and other popular cryptocurrencies

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01 Jul 2024

Aged Care Advice – the consumer protection challenge

From AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

The burgeoning aged care sector is one that financial advisers – directly or indirectly – will increasingly come into contact with. As our population ages, and longevity improves, most advisers will have a number of clients who are either using aged care services themselves, or who are making decisions about aged care on behalf of their parents or grandparents.

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04 Jun 2024

Sophisticated and Wholesale investors – changes coming in 2024

From AdviserVoice - this Regulatory Compliance and Consumer Protection article is proudly brought to you by Russell Investments

One of the most topical conversations around financial consumer protections is the forthcoming changes to the Sophisticated Investor Test. The subject of much scrutiny and debate since its introduction in

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07 May 2024

Earn CPD Points

CPD: The Two-Chapter retirement – a framework for understanding retiree psychology
Introduction Why do financially secure retirees still hesitate to spend, or commit to strategies that would clearly improve their outcomes? This article sets out the Two-Chapter Retirement framework, a new [...]
CPD: China’s next phase – what persistent supply-side growth means for global markets
China’s economic trajectory is shifting, but not in the way many had once expected. Consumption-led rebalancing has not materialised. Instead, economic policy continues to emphasise industrial modernisation, aligned with a [...]
CPD: Ethics and client best interests
In financial advice, acting in a client’s best interest isn’t just a regulatory rule, it’s the foundation of a trusting, successful partnership. This article, proudly sponsored by GSFM, examines the [...]
CPD: Capitalising on global growth in the decarbonisation era
Few themes rival the scale, urgency and long-term significance of climate change. Consequently, regions, countries, companies and individuals are taking positive action to decarbonise the planet and work toward net [...]
CPD: Decoding the compliance signals within AFCA’s Lead Decisions
Introduction In February 2026, the Australian Financial Complaints Authority (AFCA), reached a significant milestone when it issued its 1,000th Dixon Advisory determination[1]. Up until that point, this represented the single [...]