All Articles tagged with 'Simone Constant'

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ASIC and APRA warn frontier AI awareness must turn to action

From ASIC (Australian Securities & Investments Commission) & APRA (Australian Prudential Regulation Authority)

The Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA) are urging financial market entities to move from gaining awareness of risks linked to frontier AI

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31 Aug 2026

ASIC calls platform trustees to account over persistent failures to safeguard super savings

From ASIC - Australian Securities & Investments Commission

ASIC is warning superannuation trustees to address stark and persistent failures to protect retirement savings, including gaps in the monitoring of harmful advice fee deductions, unusual fees and investment patterns,

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01 Jul 2026

Super stragglers dampen progress on death benefits delivery for grieving Australians

From ASIC - Australian Securities & Investments Commission

Ongoing weaknesses in the death benefit claims handling practices of straggling superannuation trustees risk undermining confidence in the industry’s readiness to service Australia’s ageing population. While many trustees have made

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11 Jun 2026

Super trustees urged to accelerate progress on retirement support for members

From ASIC - Australian Securities & Investments Commission

ASIC and APRA have jointly released the 2025 Retirement Income Covenant (RIC) Pulse Check report, which assesses the progress trustees have made in developing retirement income strategies for Australians approaching

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28 Nov 2025

ASIC sends clear message to super trustees amid glaring retirement communications gaps

From ASIC - Australian Securities & Investments Commission

ASIC is concerned that many Australians may not have the information they need to make confident and informed decisions about retirement after a review identified a lack of urgency in

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15 Oct 2025

ASIC appoints new Chairs and members to the Markets Disciplinary Panel

From ASIC - Australian Securities & Investments Commission

ASIC has announced the appointment of a new Chair, Deputy Chair, and three new members to the Markets Disciplinary Panel (MDP), and thanks five retiring members for their significant contribution. The

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18 Sep 2025

ASIC warns industry and consumers of share sale fraud

From ASIC - Australian Securities & Investments Commission

Following a spike in reports of stolen shares due to identity theft and an industry review, ASIC has updated guidance for Australian financial services (AFS) licensees about how they can

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25 Jun 2025

ASIC calls out superannuation trustees for weak scam and fraud practices

From ASIC - Australian Securities & Investments Commission

ASIC has written to superannuation trustees urging them to strengthen anti-scam practices, or risk exposing members to harm. The open letter, signed by ASIC Commissioner Simone Constant, outlines our guidance

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31 Jan 2025

ASIC receives new powers under financial market infrastructure reforms

From ASIC - Australian Securities & Investments Commission

ASIC welcomes the new Australian financial market infrastructure (FMI) laws, which introduce new powers essential to ensuring a stable and efficient Australian financial system. Financial market infrastructures (FMIs) are the

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20 Sep 2024

ASIC calls on market intermediaries to strengthen supervision of business communications

From ASIC - Australian Securities & Investments Commission

ASIC is calling on market intermediaries to strengthen their supervisory arrangements for recording and monitoring representatives’ business communications to prevent, detect and promptly address misconduct and contraventions of financial services

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27 Jun 2024

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CPD: The case for Australian mid-caps – why quality is on sale
Share prices move every day. The underlying value of the businesses behind those prices does not move nearly as often, or as much. That distinction matters more than usual right [...]
CPD: Investment bonds revisited – understanding the fundamentals in a changing tax landscape
For many years, investment bonds have occupied a relatively small corner of the Australian investment landscape. While familiar to some advisers, others may have had limited reason to consider them [...]
CPD: Positioning portfolios for the next world order
Key takeaways The global system is becoming more fragmented and policy-driven, leading to more uneven and less predictable market outcomes. Geopolitical risk is now persistent, showing up not just in [...]
CPD: A review of the Code of Ethics (part one)
The Financial Planners and Advisers Code of Ethics (Code) has sat at the centre of adviser conduct in Australia since it became mandatory on 1 January 2020. This article, proudly [...]
CPD: Think your clients aren’t complaining? ASIC might disagree
Complaints are so big right now 2026 has been a big year for financial services complaints, and not just numerically. Certainly, the volume of complaints is noteworthy. AFCA data[1] released [...]