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Everything from ASIC - Australian Securities & Investments Commission

ASIC to give guidance on review and remediation in the financial advice industry

From ASIC - Australian Securities & Investments Commission

ASIC will develop a regulatory guide on review and remediation programs conducted by Australian financial services licensees that provide financial advice. Over the last few years ASIC has negotiated a

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07 May 2015

ASIC increasing use of behavioural economics across its regulatory business

From ASIC - Australian Securities & Investments Commission

ASIC yesterday released two reports of behavioural economics (BE) research experiments conducted as part of its push to better understand market and consumer behaviour. The behavioural experiments conducted by the Queensland

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19 Mar 2015

ASIC takes action on deficient advice on complex structured investment products

From ASIC - Australian Securities & Investments Commission

ASIC concerns about financial advice relating to complex products has led to 10 licensees undertaking corrective action. ASIC released a report in December 2013 which looked at advice provided by

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25 Feb 2015

Update on the implementation of ASIC register for financial advisers

From ASIC - Australian Securities & Investments Commission

The corporate regulator, ASIC, is well advanced with work on an industry-wide public register of financial advisers to be up and running at the end of March. The Government announced

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12 Feb 2015

ASIC ensures QBE meets expected outsourcing standards for dispute resolution

From ASIC - Australian Securities & Investments Commission

QBE Insurance (Australia) Limited (QBE) will make changes to its outsourcing of escalated complaints and dispute resolution after ASIC raised concerns about the manner in which it had outsourced complaint

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03 Feb 2015

ASIC cancels registrations of SMSF auditors

From ASIC - Australian Securities & Investments Commission

ASIC has cancelled the registration of 440 Self-managed superannuation fund (SMSF) auditors who did not undertake or pass a competency exam necessary to retain their registration. ASIC has also disqualified

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16 Dec 2014

ASIC class order clarifies fee and cost disclosure requirements

From ASIC - Australian Securities & Investments Commission

Following a review of fee disclosure practices, ASIC today released a class order clarifying key fee and cost disclosure requirements for Product Disclosure Statements (PDS) and periodic statements for superannuation

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15 Dec 2014

ASIC explained: What does it do and why should Australians care?

From ASIC - Australian Securities & Investments Commission

Greg Medcraft, Chairman, Australian Securities and Investments Commission gave a speech yesterday to the National Press Club of Australia, in Canberra. He discussed three main topics: ASIC’s role and why

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04 Dec 2014

ASIC proposes to cut red tape and encourage more electronic disclosure

From ASIC - Australian Securities & Investments Commission

ASIC is seeking feedback on proposals to make it easier for businesses to deliver financial services disclosures electronically while preserving choice for consumers. Our proposals also encourage the use of

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17 Nov 2014

Improving the small business environment: ASBC and ASIC meet with professional organisations in North Queensland

From ASIC - Australian Securities & Investments Commission

Australian Small Business Commissioner (ASBC), Mark Brennan, and ASIC Regional Commissioner – Queensland, Brett Bassett, recognise the important role regional businesses play in the Australian economy. Earlier this week, Mark

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21 Oct 2014

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