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Everything from ASIC - Australian Securities & Investments Commission

ASIC consults on updates to relief for superannuation calculators and retirement estimates

From ASIC - Australian Securities & Investments Commission

ASIC has released Consultation Paper 351 Superannuation forecasts: Update to superannuation calculators and estimates relief (CP 351) to seek stakeholder feedback on proposed updates to relief and guidance for superannuation forecasting

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22 Nov 2021

ASIC consults on consumer remediation draft guidance

From ASIC - Australian Securities & Investments Commission

ASIC has released a draft updated and expanded regulatory guide to consult on the way licensees should conduct remediations to return money owed to consumers. The draft guidance is an

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19 Nov 2021

ASIC releases guidance and examples on records of advice

From ASIC - Australian Securities & Investments Commission

ASIC has released an information sheet on records of advice (ROA) and three ROA examples to provide clarity to financial advisers and advice licensees on their obligations when using ROAs

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08 Nov 2021

Appointment of Kirsten Fish as ATO Second Commissioner

From ASIC - Australian Securities & Investments Commission

As announced by the Assistant Treasurer, the Hon Michael Sukkar MP, the Australian Taxation Office (ATO) is pleased to confirm the appointment of Ms Kirsten Fish as a Second Commissioner

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02 Nov 2021

Surveillance of investment switching by super fund executives identifies concerns with trustees’ conflicts arrangements

From ASIC - Australian Securities & Investments Commission

An ASIC surveillance about personal investment switching by directors and senior executives of superannuation trustees has identified concerns with trustees’ management of conflicts of interest. ASIC looked at a sample

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28 Oct 2021

Report on competition in the Australian funds management industry released

From ASIC - Australian Securities & Investments Commission

ASIC has released a report on the state of competition in Australia’s funds management industry. ASIC commissioned independent research by Deloitte Access Economics (Deloitte) to examine competition between fund managers

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27 Sep 2021

ASIC publishes guidance on hawking reforms

From ASIC - Australian Securities & Investments Commission

ASIC has published updated regulatory guidance on the prohibition of hawking financial products. ASIC’s updated regulatory guide (RG 38) reflects the reforms to the anti-hawking regime under the Financial Sector Reform

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24 Sep 2021

Licensing and professional registration activities: 2021 update

From ASIC - Australian Securities & Investments Commission

ASIC’s Licensing and professional registration activities: 2021 update (Report 700) outlines key issues, new and proposed changes to our licensing processes, and other work we have undertaken that affects licensees. Between

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17 Sep 2021

ASIC publishes guidance on breach reporting

From ASIC - Australian Securities & Investments Commission

ASIC has released regulatory guidance to help credit and Australian Financial Services (AFS) licensees to meet new breach reporting obligations. Set to commence on 1 October 2021, the breach reporting

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08 Sep 2021

Check on superannuation trustee preparedness for new IDR requirements finds more work required

From ASIC - Australian Securities & Investments Commission

A recent ASIC survey of registrable superannuation entities (trustees) about their preparedness for the new enforceable internal dispute resolution (IDR) obligations has identified some important areas requiring further work. Following

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03 Sep 2021

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CPD: A TTR strategy for modern retirement
We are currently witnessing one of the most significant demographic transformations in Australia’s history. Over the next decade, an estimated 2.5 million Australians are expected to enter retirement[1]. This article, [...]
CPD: Trend following in uncertain times
Trend following strategies aim to generate returns by capturing sustained price movements across a diverse range of asset classes. Unlike traditional investment approaches that rely on valuation or forecasting, trend [...]
CPD: Aged care advice and ethics
Data from the Australian Institute of Health and Welfare (AIHW) shows that Australia’s population aged 65 and over is projected to reach 22% – or 8.8 million people – by [...]
CPD: AI governance – a practical framework for advisers
Regulator scrutiny of AI governance just got serious In years to come, they may well call it the ‘Mythos effect’ – the point in early 2026 where all the concerns [...]
CPD: Thinking outside the box – providing a loved one a paycheque for life
Australia’s great wealth transfer is well underway. An estimated $5.4 trillion is expected to pass from those aged 60 and over to younger generations within the next two decades.[1] In [...]