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Everything from ASIC - Australian Securities & Investments Commission

Innovation Hub: Regulatory sandbox proposal

From ASIC - Australian Securities & Investments Commission

ASIC has provided a further update on its Innovation Hub (see 15-211MR for our previous update). ASIC’s Innovation Hub has now been operating for just over a year and is continuing

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05 May 2016

ASIC’s latest enforcement report outlines key outcomes and areas of focus for the future

From ASIC - Australian Securities & Investments Commission

ASIC has released its enforcement report for the period 1 July 2015 to 31 December 2015. The report highlights ASIC’s key areas of focus for the organisation and outcomes supporting

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31 Mar 2016

ASIC consults on proposed guidance about ‘robo-advice’

From ASIC - Australian Securities & Investments Commission

ASIC yesterday released a consultation paper and a draft Regulatory Guide on regulating digital financial product advice (also commonly known as robo-advice). ASIC Commissioner John Price said, ‘ASIC is keen to

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22 Mar 2016

ASIC targets financial services licensees using the term “independent”

From ASIC - Australian Securities & Investments Commission

Wilson HTM Ltd (Wilson), iSelect Life Pty Ltd (iSelect) and Citywide Insurance Brokers and Financial Planners Pty Ltd (Citywide) have taken steps to remove or amend claims made about the

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03 Mar 2016

ASIC guidance to employers about super

From ASIC - Australian Securities & Investments Commission

ASIC has updated its MoneySmart website to help employers select a default superannuation fund for employees. ‘Super is a complex area, not just for individuals but for employers as well

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18 Feb 2016

ASIC finds professional indemnity insurance for financial advisers stable and available but gaps exist

From ASIC - Australian Securities & Investments Commission

The market for professional indemnity (PI) insurance in Australia for financial advisers is stable and generally available, but gaps exist between what ASIC expects and some of the insurance products

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15 Dec 2015

ASIC releases second licensing activity report and announces licensing liaison meetings

From ASIC - Australian Securities & Investments Commission

ASIC yesterday published its second report on its approach to licence applications. Report 448 Overview of licensing and professional registration applications: January to June 2015 (REP 448) sets out recent regulatory

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25 Sep 2015

ASIC welcomes consultation on industry funding

From ASIC - Australian Securities & Investments Commission

ASIC welcomes the release of the Government’s consultation paper on a proposed industry funding model for the organisation. A model that provides more transparency and certainty around ASIC’s funding is

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31 Aug 2015

Applying for a limited AFS licence – the time to act is now

From ASIC - Australian Securities & Investments Commission

Currently accountants are allowed to provide limited advice on self-managed superannuation funds (SMSFs) without the need for an Australian financial services (AFS) licence. ASIC is reminding those accountants without an

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26 Aug 2015

Renew and maintain your business name

From ASIC - Australian Securities & Investments Commission

ASIC is urging business owners to renew their business name or risk it being cancelled. The reminder comes after ASIC cancelled more than 95,000 business names in the first half

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19 Aug 2015

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CPD: Why private market assets belong in client portfolios
Australia’s superannuation funds have quietly reshaped their portfolios over the past decade, and the numbers tell the private markets story better than any commentary can. Hostplus allocates 38% of its [...]
CPD: Diversifying portfolios with Emerging Market debt
For advisers building diversified portfolios, especially those focused on generating income, Emerging Markets (EM) debt deserves consideration. The asset class has converged steadily toward Developed Market (DM) standards over the [...]
CPD: The end of tax certainty? Adviser use-cases for investment bonds after Budget 2026
Why your peers are talking about investment bonds again A critical foundation of strategic financial advice is certainty about how a financial structure will be taxed, now and into the [...]
CPD: Maximising super contributions before retirement
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 [...]