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Everything from ASIC - Australian Securities & Investments Commission

Financial adviser professional standards reforms – ASIC releases new instrument delaying reporting dates and making minor amendments

From ASIC - Australian Securities & Investments Commission

ASIC has released a new legislative instrument relating to the professional standards reforms for financial advisers, as announced on 1 August 2018 (refer: 18-225MR). The instrument makes changes to the reporting

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11 Oct 2018

CFTC and ASIC sign fintech cooperation arrangement

From ASIC - Australian Securities & Investments Commission

The US Commodity Futures Trading Commission (CFTC) and the Australian Securities and Investments Commission (ASIC) today signed an arrangement to cooperate and support innovation through each other’s financial technology (fintech)

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08 Oct 2018

ASIC continues small business focus for 2018-19

From ASIC - Australian Securities & Investments Commission

ASIC has released its Corporate Plan for 2018-19 to 2021-22 and small business continues to be an important stakeholder for ASIC, reflected in the plan’s action items for 2018-19. ASIC Commissioner John

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03 Oct 2018

ASIC releases guidance on code of ethics compliance schemes for financial advisers

From ASIC - Australian Securities & Investments Commission

ASIC has released guidance on its proposed approach to approving and overseeing compliance schemes for financial advisers (RG 269). The financial advice professional standards reforms include obligations for financial advisers

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02 Oct 2018

ASIC extends employee redundancy funds legislative instrument

From ASIC - Australian Securities & Investments Commission

ASIC has made a new legislative instrument which continues the effect of longstanding ASIC relief set out in ASIC Corporations (Employee redundancy funds relief) Instrument 2015/1150 until 1 October 2021. An employee

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27 Sep 2018

ASIC review finds unacceptable delays by financial institutions in reporting, addressing and remediating significant breaches

From ASIC - Australian Securities & Investments Commission

In a report released yesterday, ASIC has identified serious, unacceptable delays in the time taken to identify, report and correct significant breaches of the law among Australia’s most important financial

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26 Sep 2018

Regulated by ASIC? Urgent action required by 27 September

From ASIC - Australian Securities & Investments Commission

Organisations and individuals regulated by ASIC must act by this Thursday 27 September to meet their legal obligations under new industry funding laws. ASIC sent a letter in July to

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26 Sep 2018

ASIC reports on climate risk disclosure by Australia’s listed companies

From ASIC - Australian Securities & Investments Commission

An ASIC report on climate risk disclosure by Australia’s listed companies has found more can be done to improve consistency in disclosure practices across listed companies, with very limited climate risk

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24 Sep 2018

Financial firms must join AFCA now

From ASIC - Australian Securities & Investments Commission

ASIC warns all Australian financial services licensees, Australian credit licensees, authorised credit representatives and superannuation trustees that they must join the Australian Financial Complaints Authority (AFCA) now if they have

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24 Sep 2018

ASIC urges organisations to act on industry funding before 27 September

From ASIC - Australian Securities & Investments Commission

The deadline is approaching for organisations and individuals regulated by ASIC to meet their legal obligations under new industry funding laws. ASIC sent a letter in July to each registered office

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17 Sep 2018

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CPD: Why private market assets belong in client portfolios
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For clients in their fifties and early sixties, superannuation stops being a distant concept and becomes a countdown. This article, proudly sponsored by Allianz Retire+, explores how clients can maximise [...]
CPD: Trust – the unseen foundation of ethical financial advice
Trust sits at the heart of every successful financial advice relationship. In this article, proudly sponsored by GSFM, the importance of the trust relationship and its link to ethical practice [...]