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Everything from ASIC - Australian Securities & Investments Commission

ASIC review finds room for improvement remains with life insurance claims handling

From ASIC - Australian Securities & Investments Commission

ASIC’s review of nearly 4800 individual disability income insurance (IDII) claims received between 1 January and 30 June 2021 has found more work is needed by insurers to ensure that

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05 Sep 2022

ASIC warns brokers considering high-risk offers to retail investors

From ASIC - Australian Securities & Investments Commission

ASIC is warning brokers to be careful about or reconsider offering high-risk products and services to retail investors, such as securities lending, crypto-assets and offers of ‘zero’ or ‘low-cost’ brokerage

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02 Sep 2022

Super trustees urged to improve effectiveness of target market determinations

From ASIC - Australian Securities & Investments Commission

ASIC is calling on superannuation trustees to review and if necessary improve the effectiveness of target market determinations (TMD) for their products, after a sample review of trustee compliance found

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30 Aug 2022

ASIC’s priorities for 2022–26

From ASIC - Australian Securities & Investments Commission

ASIC has released its Corporate Plan, outlining its strategic priorities for the next four years and its plan of action for the year ahead. Chair Joe Longo said, ‘The plan identifies work

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23 Aug 2022

ASIC clarifies the treatment of incidental retail cover as part of business insurance contracts

From ASIC - Australian Securities & Investments Commission

ASIC has issued relief to insurers and brokers that clarifies their obligations when offering retail insurance as part of bundled business insurance contracts. ASIC has made a legislative instrument, “ASIC

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18 Aug 2022

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

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