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Everything from ASIC - Australian Securities & Investments Commission

ASIC releases policies on adviser training for carbon financial products

From ASIC - Australian Securities & Investments Commission

ASIC has released its final policies on adviser training and financial requirements for entities and individuals providing financial services in relation to emissions units following a public consultation (refer Consultation Paper

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03 May 2012

ASIC releases exchange traded funds report

From ASIC - Australian Securities & Investments Commission

ASIC has released a report on exchange traded funds (ETFs) which outlines how this growing industry is regulated in Australia and the impact of proposed international principles to address concerns by

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30 Mar 2012

ASIC improves disclosure of unlisted property scheme risks

From ASIC - Australian Securities & Investments Commission

ASIC has introduced a new disclosure principle and six new disclosure benchmarks for unlisted property schemes to improve investors’ awareness of the risks of investing in these products. Regulatory Guide 46

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29 Mar 2012

ASIC releases full report on retirement advice shadow shopping research

From ASIC - Australian Securities & Investments Commission

ASIC today released the full findings of ‘shadow shopping’ research which examined financial advice given to people to help them plan for retirement. The purpose of Report 279 Shadow shopping

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28 Mar 2012

ASIC paper (CP 176) reviewing regulatory approach to platforms

From ASIC - Australian Securities & Investments Commission

ASIC yesterday announced it is reviewing its regulatory approach to platforms as part of broader efforts to promote investor confidence in the sector. The platforms sector attracts significant funds. In

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14 Mar 2012

ASIC releases policy on enforcement and investigations

From ASIC - Australian Securities & Investments Commission

ASIC has released policy documents discussing how it undertakes investigations and enforcement activity. The policy documents are: Information Sheet 151: ASIC’s approach to enforcement (INFO 151). This discusses how ASIC

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21 Feb 2012

ASIC releases third market supervision report

From ASIC - Australian Securities & Investments Commission

ASIC has issued its third report on the supervision of Australian financial markets and market participants. Report 277 ASIC supervision of markets and participants: July to December 2011 (REP 277) identified

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08 Feb 2012

ASIC finalises investigation into Saxo Bank following Sonray collapse

From ASIC - Australian Securities & Investments Commission

ASIC has finalised its investigation into Saxo Bank A/S, the former provider of the trading platform for collapsed broker, Sonray Capital Markets Pty Ltd (in liquidation) (Sonray). Following the conclusion

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02 Feb 2012

ASIC releases investor guide & disclosure requirement for Agribusiness MIS

From ASIC - Australian Securities & Investments Commission

ASIC has released an investor guide and regulatory guidance with new disclosure benchmarks and principles for agribusiness managed investment schemes to improve investor awareness of the risks associated with these products.

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31 Jan 2012

ASIC improves disclosure by infrastructure entities

From ASIC - Australian Securities & Investments Commission

ASIC has released new disclosure benchmarks and principles for infrastructure entities to improve investor awareness of the risks associated with investing in these products. The risks of investing in infrastructure entities

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25 Jan 2012

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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 [...]