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Everything from ASIC - Australian Securities & Investments Commission

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

ASIC publishes Corporate Plan 2021-25

From ASIC - Australian Securities & Investments Commission

ASIC’s Corporate Plan 2021-25[1] outlines our priorities over the next four years to achieve a fair, strong and efficient financial system for all Australians. The Corporate Plan is consistent with

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30 Aug 2021

ASIC’s approach to new laws reforming financial services sector

From ASIC - Australian Securities & Investments Commission

Six reforms arising out of recommendations from the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry (Royal Commission) and other inquiries will commence in October. The

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13 Aug 2021

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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 [...]