Compliance

Compliance Articles

Actions needed for funds to manage liquidity risks

JON IRELAND | Comments | FRIDAY, 10 JUL 2020

In response to recent market volatility and disruption, investment fund issuers and their boards have been reminded of their governance and conduct obligations in light of emerging liquidity risks. In ... In ... Read more

Electronic signing in a pandemic

LUKE PATERSON , ROBERT MACREDIE | Comments | FRIDAY, 19 JUN 2020

The global response to the coronavirus (COVID-19) pandemic has resulted in many ordinary business dealings now being undertaken remotely due to social distancing protocols and border shutdowns. The resulting ... The ... Read more

Safe harbour in the era of COVID-19

GAVIN STUART | Comments | FRIDAY, 29 MAY 2020

People who are employees, customers and clients of many small businesses across the country have retreated into their homes for both work and self isolation. Businesses have been the subject of federal ... People ... Read more

The state of accountability regimes

LYNDA DOWLING | Comments | FRIDAY, 28 FEB 2020

It may have been over 10 years since the global financial crisis (GFC) unfolded, but the regulatory and political fallout is still driving change for the financial services sector. The UK was at the ... Read more

Debatable ethics

ELIZABETH MCARTHUR | Comments | FRIDAY, 15 NOV 2019

A debate is raging about what the Financial Adviser Standards and Ethics Authority's Code of Ethics means for ESG investing and advising clients on ethical investment options, with FASEA chief executive ... A ... Read more

The shades of grey in the managed accounts world

PETER TURBACH | Comments | FRIDAY, 7 JUN 2019

There has been a lot of attention by the law makers and the regulators over the last few years in the advice business. Specifically in the managed accounts world, we have seen an impact from FOFA, the ... There ... Read more

Everything you need to know about best interests duty

CLAIRE WIVELL PLATER , SONIA CRUZ | Comments | FRIDAY, 19 OCT 2018

There are four things that you need to do after 1 July 2013 when providing personal advice to retail clients - in addition to the disclosure requirements. The four things include (note: the italicised ... There ... Read more

Looking ahead to possible reforms

VINCE BATTAGLIA | Comments | FRIDAY, 20 JUL 2018

Possible law reforms are on the agenda following the conclusion of the second round of hearings of the Financial Services Royal Commission. We identify the trends arising from the Royal Commission and ... Possible ... Read more

Continuing professional development for financial product advisers

PAM MCALISTER | Comments | MONDAY, 1 JAN 2007

One of the policy objectives of the financial services licensing regime is to ensure the competency of the licensee and its representatives to provide the financial services authorised under an Australian ... One ... Read more

Do you need PI cover?

JOHN BASSILIOS , HARRY NEW | Comments | MONDAY, 1 JAN 2007

A new regulation has been recently introduced in relation to AFSL holders' compensation requirements under section 912B of the Corporations Act while ASIC has released a consultation paper on how ... A ... Read more

ASIC and Westpoint: The mechanics of a collapsing mezzanine

GERARD MAGNER , MELANIE YOUNIS | Comments | TUESDAY, 1 JAN 2008

The collapse of the Westpoint group and the loss of many millions of dollars of investors' funds has been the subject of much publicity. ASIC has recently announced that it will commence legal action ... The ... Read more

Latest News


FPA award nominations open, new award announced ALLY SELBY The Financial Planning Association of Australia has announced a new category in its annual FPA Awards, set to recognise members who have used technologies in innovative ways to deliver advice.	AMP launches new managed portfolios JAMIE WILLIAMSON AMP is launching a new range of managed portfolios, available on its flagship MyNorth platform.

Adviser salaries unchanged: Research ELIZABETH MCARTHUR The latest insights from Kaizen Recruitment show the benchmark salaries for financial advisers and paraplanners remain as they were in early 2019.	Regulatory, legal exam questions trip up advisers ELIZABETH MCARTHUR FASEA has revealed the areas that financial advisers struggle with in the exam - with regulatory and legal questions presenting a challenge.

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The role of gold in a diversified portfolio

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