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Everything from ASIC - Australian Securities & Investments Commission

ASIC releases research about investment behaviour

From ASIC - Australian Securities & Investments Commission

ASIC has released Report 735 Retail investor research (REP 735) capturing retail investor motivations, attitudes and behaviours in the period following the onset of the COVID-19 pandemic. The research surveyed 1,053 Australian

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12 Aug 2022

ASIC’s surveillance of internal dispute resolution in superannuation identifies concerns

From ASIC - Australian Securities & Investments Commission

Superannuation trustees are being urged to review their internal dispute resolution (IDR) arrangements after the first stage of an ASIC surveillance found indicators of significant compliance issues. ASIC’s surveillance examines

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11 Aug 2022

Delay to the ASX CHESS Replacement Project and Independent Review

From ASIC - Australian Securities & Investments Commission

ASIC and the Reserve Bank of Australia (RBA) (the regulators) acknowledge the recent announcement by ASX of the further delay to the Clearing House Electronic Sub-register System (CHESS) Replacement project.

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04 Aug 2022

Former Dixon Advisory clients should consider lodging complaints with AFCA

From ASIC - Australian Securities & Investments Commission

Former clients of Dixon Advisory and Superannuation Services Pty Limited (in administration, ‘Dixon Advisory’) may be eligible for compensation under a potential future Compensation Scheme of Last Resort (CSLR) but

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04 Aug 2022

ASIC Annual Forum registrations open

From ASIC - Australian Securities & Investments Commission

Registrations are now open for the ASIC Annual Forum and Dinner to be held on 3–4 November 2022. ASIC Chair Joe Longo said, ‘This will be the first ASIC Annual

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01 Aug 2022

ASIC’s first DDO stop orders to prevent offer of financial products to consumers

From ASIC - Australian Securities & Investments Commission

ASIC has placed interim stop orders on three financial firms in response to deficiencies in the target market determination (TMD) for their products. These actions are ASIC’s first use of

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29 Jul 2022

ASIC encourages submissions to the International Sustainability Standards Board consultation on global baseline climate and sustainability disclosures

From ASIC - Australian Securities & Investments Commission

ASIC welcomes the significant progress toward establishing global sustainability reporting standards made by the International Sustainability Standards Board (ISSB). The ISSB has published two draft standards (Exposure Drafts) for consultation

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01 Jul 2022

ASIC warns super trustees to be transparent in their underperformance communications to members

From ASIC - Australian Securities & Investments Commission

ASIC has released the findings from its review of superannuation trustees’ communications with their members following the first annual performance test for MySuper products. The test measures the performance of

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27 Jun 2022

How to avoid ‘greenwashing’ for superannuation and managed funds

From ASIC - Australian Securities & Investments Commission

ASIC has released an information sheet to help issuers avoid ‘greenwashing’ when offering or promoting sustainability-related products. The publication will also assist issuers to provide investors with the information they

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16 Jun 2022

ASIC releases Information Sheet on warnings and reprimands given to financial advisers

From ASIC - Australian Securities & Investments Commission

The requirement for ASIC to give warnings and reprimands to financial advisers in specified circumstances was introduced by the Financial Sector Reform (Hayne Royal Commission Response—Better Advice) Act 2021[1] (Better Advice

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10 Jun 2022

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