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Everything from ASIC - Australian Securities & Investments Commission

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

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

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CPD: Growth holds, risks widen
Economic outlook: Structural forces, cyclical implications Longer-term secular forces are driving the six- to 12-month cyclical outlook. Our June 2026 Secular Outlook, “Rupture and Resilience[1],” explored the fraying of traditional [...]
CPD: Intergenerational wealth – When the responsibility transfers before the money
Picture this: an Enduring Power of Attorney (EPOA) has sat in a filing cabinet for years. Then a sudden health event means an adult daughter is called on to act [...]
CPD: Why market structure rewards active management in local currency EMD
Key takeaways A large, diverse and fast-growing opportunity set: local currency EMD spans economies at very different points in the cycle, offering income, growth and genuine diversification. Structure, not just [...]
CPD: A practical system for building client confidence – Value of Advice (Part 1)
Introduction As the advice profession continues to evolve, so too do client expectations and perceptions of the value of advice. Perhaps nothing sums up this shift as perfectly as this [...]
CPD: When a little knowledge is dangerous – countering the financial ‘guidance’ your clients are getting from AI
Move over, Google The expression “a little knowledge is a dangerous thing” seems particularly appropriate to financial decisions, where the amounts at stake and the inherent complexity make the risk [...]