Working together for stronger financial capability

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ASIC has released the National Financial Literacy Strategy Annual Highlights Report 2016‑17. The Report paints a national picture of financial literacy programs and initiatives delivered by a wide range of

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ASIC consults on updated guidance for its oversight of the Australian Financial Complaints Authority (AFCA)

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ASIC has released a draft updated Regulatory Guide 139, Oversight of AFCA (updated RG139) for public consultation. The Bill to establish AFCA passed on 14 February 2018, and Minister for Financial Services,

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ASIC’s latest enforcement report highlights outcomes from the second half of 2017

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ASIC has released its enforcement outcomes report for the period 1 July 2017 to 31 December 2017. The enforcement outcomes over that six-month period include: The report presents a number

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ASIC reports on corporate finance regulation – July to December 2017

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ASIC has published its latest report on the regulation of corporate finance issues in Australia for the period July to December 2017. The report provides companies and their advisers with

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ASIC welcomes establishment of the Australian Financial Complaints Authority

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ASIC welcomes the passage through Parliament of the Bill to establish the Australian Financial Complaints Authority (AFCA). AFCA will be the culmination of more than 20 months of public consultation

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Information on new professional standards for financial advisers now available on ASIC website

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The Australian Securities and Investments Commission (ASIC) has created a new section on its website to help financial advisers navigate the incoming professional standards requirements. The new requirements are aimed

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ASIC reports on the 2017 annual general meeting season

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ASIC has published its overview of the annual general meeting (AGM) season for S&P/ASX 200 (ASX 200) listed companies in 2017. Report 564 Annual general meeting season 2017 (REP 564) examines the

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ASIC reports on how large financial institutions manage conflicts of interest in financial advice

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An Australian Securities and Investments Commission (ASIC) review of financial advice provided by the five biggest vertically integrated financial institutions has identified areas where improvements are needed to the management

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ASIC warns financial services licensees against ‘cutting corners’ on death nomination forms

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The Australian Securities and Investments Commission (ASIC) is putting the financial advice sector on notice about meeting requirements for witnessing signatures, after finding issues with advisers failing to correctly witness

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ASIC’s regulatory sandbox proposal to remain unchanged

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ASIC has released a review of its regulatory sandbox, introduced in December 2016. In the review ASIC proposes to retain class waivers known as the fintech licensing exemption, that allow

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