 ROD ALDUS , TIM STEWART , YU ZHANG , KIRSTY PRINSLOO , LENNARD BREMER , ALEXANDRA MASON | FRIDAY, 16 AUG 2024 The Australian Securities and Investment Commission (ASIC) has released guidance clarifying its expectations in relation to a bank, or other intermediary, pre-hedging derivative exposures. Read more  SEAN GRAHAM | FRIDAY, 19 JUL 2024 Under Australian financial services laws, Australian Financial Services (AFS) Licensees and financial advisers face stringent compliance obligations regarding the collection, use, and protection of personal information. Read more SEAN GRAHAM | FRIDAY, 1 MAR 2024 We recently learnt that 98% of the new advice licensees that commenced operation in 2023 were 'micro-licensees'-that is, licensees with fewer than ten advisers. Read more  BARTIER PERRY LAWYERS | THURSDAY, 15 FEB 2024 The Australian Financial Complaints Authority (AFCA) complaints against financial firms in the banking and finance space rose 27% in the financial year ending 30 June 2023, bringing the total complaints in that sector to 53,638. Read more BARTIER PERRY LAWYERS | FRIDAY, 9 FEB 2024 There is no doubt the current economic climate is precarious. Continuing mortgage stress and cost-of-living pressures caused by the Reserve Bank of Australia's (RBA) series of rate increases is likely to result in more complaints being lodged with the ... Read more  RACHEL ERLICH | FRIDAY, 2 FEB 2024 Do I need an AML Licence in Australia? It is a commonly asked question. Read more BARTIER PERRY LAWYERS | THURSDAY, 25 JAN 2024 The Australian Financial Complaints Authority (AFCA) is an independent and external complaint resolution scheme which considers complaints from consumers against entities operating in the credit, financial services, superannuation, and insurance ind ... Read more  JAMES KANABAR , KERENSA SNEYD | FRIDAY, 1 DEC 2023 The Australian Securities and Investments Commission (ASIC) has made some helpful amendments via the ASIC Corporations and Credit (Amendment) Instrument 2023/589 (the Instrument) to Australian Financial Service (AFS) and credit licensees' obligations ... Read more  PAUL DERHAM | WEDNESDAY, 22 NOV 2023 Artificial Intelligence (AI) presents unique regulatory and other risks that need to be managed. Read more  SARAH CONTE | WEDNESDAY, 8 NOV 2023 Legislation that seeks to recognise the experience of eligible existing providers (that is, financial advisers) as an alternative pathway to meeting the education requirements recently passed both houses of parliament and has received Royal Assent. Read more |
Latest News
ASIC bans advisers for dodgy Shield Master Fund advice
Two former MWL Financial Services financial advisers who invested clients' superannuation in the Shield Master Fund have copped bans from the regulator.
Findex partners with brokerage firm to deliver 'best-in-class' service
Findex is entering a joint venture with Ortus Financial to bolster its expertise and breadth of its service.
ASIC funding levy to charge advisers $46.2m
The financial advice sector can expect to contribute $46.2 million to ASIC's industry funding levy for the 2025 financial year, new estimates show.
ASIC releases new relief for reportable situations regime
ASIC has provided AFSLs new reliefs to help them manage the reportable situations regime, which includes extending the length of investigations reportable from 30 days to 60 days.
Further Reading
Cover Story
Moving mountains
MAGDELINE JACOVIDES
FOUNDER & FINANCIAL PLANNER
MAZI WEALTH
FOUNDER & FINANCIAL PLANNER
MAZI WEALTH
On top of running a successful practice, Mazi Wealth founder Deline Jacovides is a fierce advocate for closing the superannuation gender gap and has built a highly popular social media presence that takes financial literacy to the next level. She tells Karren Vergara where her passion comes from and how she integrates it all with family life.
Expert Feed
The need to achieve real scale in advice - and serve all Australians
One of the great social challenges in financial services today is the millions of everyday Australians who want and need financial guidance but cannot ...
Are US assets becoming less desirable?
There has been so much commentary, including by us, on the twists and turns of US trade policy - notwithstanding the latest 90-day truce with China - ...
Listed private equity: A strategic opportunity amid global market dislocation
The sharp escalation in global trade tensions in 2025 has injected a fresh layer of volatility into capital markets.
How to manage the rise of 'early' inheritances
For decades, financial advice around wealth transfers has largely focused on estate planning and the distribution of assets after death. However, a significant ...
