All Articles tagged with 'Peter Kell'

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Transition period for recognised accountants providing SMSF related financial product advice has ended

From ASIC - Australian Securities & Investments Commission

On 30 June 2016, the transitional period for recognised accountants who provide self-managed superannuation fund (SMSF) related financial advice ended. Recognised accountants who lodged applications with ASIC between 1 July

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11 Jul 2016

ASIC releases its third licensing activity report

From ASIC - Australian Securities & Investments Commission

ASIC yesterday published its third report on its approach to licence applications. Report 478 Overview of licensing and professional registration applications: July to December 2015 (REP 478) sets out recent regulatory outcomes

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01 Jun 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 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

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

ASIC releases guidance on SMSF advice

From ASIC - Australian Securities & Investments Commission

ASIC has released two information sheets to improve the quality of advice provided by advisers on self-managed superannuation funds (SMSFs). The information sheets are Information Sheet 205 Advice on self-managed

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24 Jul 2015

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 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

Licensee Breaches: When in doubt, report

From The Fold Legal

The Australian Securities and Investments Commission (ASIC) is reminding Australian Financial Services (AFS) licensees that significant or likely breaches of their obligations must be notified within 10 days. Managing Director

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19 Sep 2014

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CPD: A review of the Code of Ethics (part one)
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