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Everything from ASIC - Australian Securities & Investments Commission

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

ASIC announces financial reporting changes for AFS licensees

From ASIC - Australian Securities & Investments Commission

ASIC has announced new financial reporting requirements for Australian financial services (AFS) licensees, following changes to the accounting standards. Under the new reporting requirements, AFS licensees’ financial reports must contain

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07 Jun 2022

Superannuation trustees strengthen governance practices following ASIC surveillance of investment switching

From ASIC - Australian Securities & Investments Commission

Trustees in Australia’s superannuation industry have revised their internal policies and procedures after an ASIC surveillance found significant deficiencies in their conflicts management arrangements relating to investment switching. ASIC found

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08 Apr 2022

ASIC extends relief for retirement estimate

From ASIC - Australian Securities & Investments Commission

ASIC has extended the relief for superannuation trustees who give their members retirement estimates on a periodic statement. The existing relief has been extended for a period of nine months.

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04 Apr 2022

ASIC releases February 2022 financial adviser exam results

From ASIC - Australian Securities & Investments Commission

ASIC has released exam results from the 16th Financial Advisers Exam cycle, held in February 2022. This is the first financial adviser exam cycle that ASIC has administered. The exam was

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29 Mar 2022

ASIC scrutinises marketing of managed fund performance and risks

From ASIC - Australian Securities & Investments Commission

ASIC has commenced a surveillance into the marketing of managed funds, to identify the use of misleading performance and risk representations in promotional material. ASIC is scrutinising traditional and digital

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24 Mar 2022

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CPD: Why private market assets belong in client portfolios
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