All Articles tagged with 'ASIC'

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ASIC calls for improved compliance in CFD and margin FX

From ASIC - Australian Securities & Investments Commission

ASIC has issued a warning to the contracts for difference (CFD) and margin foreign exchange (FX) sectors following the release of a report highlighting weaknesses in client money handling practices. Report

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04 Dec 2012

Guide to investing in unlisted property schemes

From ASIC - Australian Securities & Investments Commission

ASIC has released an updated investor guide to improve awareness of the risks associated when investing in unlisted property schemes. ‘Investing in unlisted property schemes’ is an update of ASIC’s previous

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13 Nov 2012

ASIC updates guidance on financial requirements for AFS licensees

From ASIC - Australian Securities & Investments Commission

ASIC has released guidance, clarifying the financial requirements with which Australian financial services (AFS) licensees must comply as part of their licensee obligations. Regulatory Guide 166 Licensing: Financial requirements (RG 166)

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02 Nov 2012

ASIC taskforce to review regulation of unlisted debentures

From ASIC - Australian Securities & Investments Commission

ASIC Chairman, Greg Medcraft has announced an internal taskforce to look at the failure of Victorian debenture issuer Banksia Securities Limited and regulation of the wider Australian unlisted debenture sector.

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01 Nov 2012

Global win for CFP® certification

From FPA - Financial Planning Association

Financial Planning Standards Board (FPSB), owner of the international CERTIFIED FINANCIAL PLANNER® certification program, announced that it has been approved as an affiliate member of the International Organisation of Securities

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30 Oct 2012

ASIC consults on code approval under FOFA

From ASIC - Australian Securities & Investments Commission

ASIC has released a consultation paper on its approach to code approval and relief powers under the Future of Financial Advice (FOFA) reforms. ASIC also confirmed that it will be

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24 Oct 2012

ASIC releases information about reporting misconduct

From ASIC - Australian Securities & Investments Commission

ASIC has released information about its approach to handling tip-offs, complaints, information of concern and reports of misconduct, to assist the public. Each year, ASIC receives over 20,000 reports of misconduct

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05 Oct 2012

ASIC consults on conflicted remuneration provisions

From ASIC - Australian Securities & Investments Commission

As part of ASIC’s commitment to consulting on the Future of Financial Advice (FOFA) reforms, ASIC has released proposed guidance on the conflicted remuneration ban. Consultation Paper 189 Future of

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01 Oct 2012

ASIC releases guidance on hedge fund disclosure

From ASIC - Australian Securities & Investments Commission

ASIC has finalised guidance on new disclosure benchmarks and principles for hedge funds to improve investor awareness of the risks associated with these products. ASIC’s guide, Regulatory Guide 240 Hedge

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19 Sep 2012

ASIC campaign on unlicensed credit providers

From ASIC - Australian Securities & Investments Commission

ASIC has put credit providers on notice as it launches a surveillance campaign to weed out unlicensed operators. ASIC will conduct a surveillance campaign between September and December 2012 designed

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28 Aug 2012

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CPD: A TTR strategy for modern retirement
We are currently witnessing one of the most significant demographic transformations in Australia’s history. Over the next decade, an estimated 2.5 million Australians are expected to enter retirement[1]. This article, [...]
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Trend following strategies aim to generate returns by capturing sustained price movements across a diverse range of asset classes. Unlike traditional investment approaches that rely on valuation or forecasting, trend [...]
CPD: Aged care advice and ethics
Data from the Australian Institute of Health and Welfare (AIHW) shows that Australia’s population aged 65 and over is projected to reach 22% – or 8.8 million people – by [...]
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Regulator scrutiny of AI governance just got serious In years to come, they may well call it the ‘Mythos effect’ – the point in early 2026 where all the concerns [...]
CPD: Thinking outside the box – providing a loved one a paycheque for life
Australia’s great wealth transfer is well underway. An estimated $5.4 trillion is expected to pass from those aged 60 and over to younger generations within the next two decades.[1] In [...]