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ASIC updates guidance on conflicted remuneration

From ASIC - Australian Securities & Investments Commission

ASIC has updated its guidance on conflicted remuneration to more closely reflect a range of regulatory changes since the guide was issued in 2013. The updated Regulatory Guide 246 Conflicted and other

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11 Dec 2017

ASIC releases new example Statement of Advice for life insurance

From ASIC - Australian Securities & Investments Commission

ASIC has released a new example Statement of Advice (SOA) for life insurance as part of updates to Regulatory Guide 90 Example Statement of Advice: Scaled advice for a new client (RG 90).

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08 Dec 2017

ASIC overview of licensing and professional registration – July 2016 to June 2017

From ASIC - Australian Securities & Investments Commission

ASIC has reported on its approach to and assessment of licence applications and professional registrations for the period July 2016 to June 2017. Report 553 Overview of licensing and professional registration applications:

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04 Dec 2017

ASIC reports on cyber resilience assessments of financial markets firms

From ASIC - Australian Securities & Investments Commission

An ASIC report on the cyber resilience of over 100 firms operating across Australia’s financial markets has shown a growing understanding of cyber risks, but there is still some progress

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01 Dec 2017

ASIC appoints expert to review fees and costs disclosure settings

From ASIC - Australian Securities & Investments Commission

The Australian Securities and Investments Commission (ASIC) has appointed Darren McShane to conduct an expert review of fees and costs disclosure in superannuation and management investments. This follows ASIC’s announcement

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30 Nov 2017

Dubai and Australia seal agreement on fintech cooperation

From ASIC - Australian Securities & Investments Commission

The Dubai Financial Services Authority (‘DFSA’) and ASIC last Friday signed a Cooperation Agreement which provides a framework for cooperation to support and understand financial innovation in each jurisdiction. The DFSA regulates

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27 Nov 2017

ASIC welcomes consultation on changes to fees-for-service

From ASIC - Australian Securities & Investments Commission

ASIC welcomes the release by Treasury of a consultation paper proposing changes to fees-for-service. While around 90% of ASIC’s regulatory activities will be now be recovered as part of the

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24 Nov 2017

ASIC delivers on commitment to help limited AFS licensees understand their obligations

From ASIC - Australian Securities & Investments Commission

The Australian Securities and Investments Commission (ASIC) has released new webpage guidance and information sheets to help limited Australian Financial Services (AFS) licensees and their representatives understand their key obligations.

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23 Nov 2017

ASIC confirms restricted use of ‘independently owned’ in financial services

From ASIC - Australian Securities & Investments Commission

ASIC has updated regulatory guidance to confirm restrictions, that were announced in June 2017, on the use of terminology that implies independence. ASIC has updated Regulatory Guide 175 Licensing: Financial product advisers –

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15 Nov 2017

ASIC announces the initial members of the Financial Services and Credit Panel

From ASIC - Australian Securities & Investments Commission

Following expressions of interest from leaders in the financial services and consumer credit industry to become members of the Financial Services and Credit Panel (‘FSCP’), ASIC has selected for appointment

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15 Nov 2017

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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, [...]
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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 [...]
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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 [...]