All Articles tagged with 'ASIC'

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“High risk” advisers need to act now to elevate consumer needs

From FinaMetrica

FinaMetrica has welcomed the Australian Securities & Investment Commission’s (ASIC) inaugural Strategic Outlook, in which it has identified financial advisers as a “high risk area” for consumers. ASIC will target

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14 Nov 2014

Accountants: Take care preparing AFS Applications

From The Fold Legal

Preparing to apply for a limited licence from the Australian Securities and Investments Commission (ASIC) should be taking accountants as long if not longer than the licence application process itself,

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11 Nov 2014

La Trobe Financial has announced the appointment of two further executives to accommodate its growing business.

From La Trobe Financial

Ms Cheree Cain who has been with La Trobe Financial for 11 years has been promoted to Executive Head of Investor Operations. Cheree began her career with the Australian Investments

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31 Oct 2014

SMSF trustees to take centre stage at SPAA’s 2015 National Conference

From SMSF Association

Understanding the self-managed super fund lifecycle and knowing how to use that knowledge to benefit clients is the theme of the 2015 SMSF Professionals’ Association of Australia (SPAA) National Conference

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16 Oct 2014

FPA responds to ASIC report into life insurance advisers

From FPA - Financial Planning Association

The Financial Planning Association of Australia (FPA) yesterday responded to the report from the Australian Securities & Investment Commission (ASIC) into the life insurance advice industry. The report refers to

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10 Oct 2014

Industry joins forces to address insurance issues

From FSC - Financial Services Council

Industry associations representing advice and life insurance will form a working group to address the issues raised by the ASIC report into life insurance released yesterday. The Association of Financial

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10 Oct 2014

AFA supports industry-wide response to life insurance review

From AFA - Association of Financial Advisers

The Association of Financial Advisers (AFA) has responded to the release of ASIC’s review of retail life insurance advice report (the Report) by supporting the establishment of a cross-industry working

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10 Oct 2014

ASIC now allowing SMSFs access to wholesale investment products

From Townsends Business & Corporate Lawyers

Until recently SMSFs couldn’t buy wholesale financial products because ASIC had held they were retail investors unless they had at least $10 million of net assets. ASIC has recently announced

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09 Oct 2014

Licensees: Beware risks and responsibilities of offering temporary home to equity based crowdfunding platforms

From The Fold Legal

Equity based crowdfunding platforms may look to existing Australian Financial Services Licensees (AFSLs) for a ‘temporary home’ until they can get their own licence or expected regulatory changes become law,

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08 Oct 2014

ASIC and AFSA announce refreshed memorandum of understanding

From ASIC - Australian Securities & Investments Commission

Australian Financial Security Authority’s Chief Executive Veronique Ingram and Commissioner John Price of the Australian Securities and Investments Commission (ASIC) have announced the release of a new Memorandum of Understanding

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03 Oct 2014

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CPD: The Two-Chapter retirement – a framework for understanding retiree psychology
Introduction Why do financially secure retirees still hesitate to spend, or commit to strategies that would clearly improve their outcomes? This article sets out the Two-Chapter Retirement framework, a new [...]
CPD: China’s next phase – what persistent supply-side growth means for global markets
China’s economic trajectory is shifting, but not in the way many had once expected. Consumption-led rebalancing has not materialised. Instead, economic policy continues to emphasise industrial modernisation, aligned with a [...]
CPD: Ethics and client best interests
In financial advice, acting in a client’s best interest isn’t just a regulatory rule, it’s the foundation of a trusting, successful partnership. This article, proudly sponsored by GSFM, examines the [...]
CPD: Capitalising on global growth in the decarbonisation era
Few themes rival the scale, urgency and long-term significance of climate change. Consequently, regions, countries, companies and individuals are taking positive action to decarbonise the planet and work toward net [...]
CPD: Decoding the compliance signals within AFCA’s Lead Decisions
Introduction In February 2026, the Australian Financial Complaints Authority (AFCA), reached a significant milestone when it issued its 1,000th Dixon Advisory determination[1]. Up until that point, this represented the single [...]