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Everything from ASIC - Australian Securities & Investments Commission

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

APRA and ASIC publish key industry data on life insurance claims

From ASIC - Australian Securities & Investments Commission

APRA and ASIC yesterday released initial industry-aggregate results from round one of a new data collection pilot on life insurance claims. Following a review by ASIC last year, the two

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10 Nov 2017

Citibank refunds $3.3 million to credit card customers

From ASIC - Australian Securities & Investments Commission

Citibank will refund more than $3.3 million to around 39,500 current and former customers for failing to refund customers when credit card accounts were closed with an outstanding credit balance.

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10 Nov 2017

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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 [...]