 SAMANTHA HILLS | SUNDAY, 31 JUL 2022 Let us take a look at whether, as the Responsible Manager of an AFSL, you really need to do RM training and what drives the answer to that question. Read more  MATT DALEY , AVI KUMAR | SUNDAY, 1 MAY 2022 ASIC has published Information Sheet 269 Discussing financial products and services online (Information Sheet 269), flagging three key areas social media influencers and AFS licence holders who use influencers need to be aware of. Read more  KATRINA BACON , CECILIA STORNIOLO | FRIDAY, 22 APR 2022 As Australia's population ages, there is a greater need for superannuation funds to address the needs of the retired and retiring population. According to APRA's Annual Fund Bulletin, in June 2020, excluding SMSFs, 10% of account holders were aged 65 ... Read more  RACHEL ERLICH | SUNDAY, 17 APR 2022 The Australian Financial Complaints Authority (AFCA) has received its first report card since commencing operations in November 2018. Read more  ASSURED SUPPORT | MONDAY, 4 APR 2022 From an advice perspective, how long can you rely on a Statement of Advice (SOA) to support your ongoing advice? To put it another way, how old and dated must an SOA be before you will stop using Records of Advice (ROAs) to streamline your advice pr ... Read more  SEAN GRAHAM | FRIDAY, 26 NOV 2021 Advisers and licensees have had a lot of regulatory reform to manage in 2021, so it is no surprise that there is still a measure of confusion and uncertainty around these new arrangements. Queries about fee disclosure statements (FDSs) and ongoing fee ... Read more  VARUN BHATIA | THURSDAY, 30 SEP 2021 With the implementation date of the internal dispute resolution changes imminent, many advisers and licensees will have commenced updating internal complaints procedures to comply with the Australian Securities and Investments Commission's (ASIC's) ... Read more SEAN GRAHAM | THURSDAY, 23 SEP 2021 Considering the deluge of regulatory reform bearing down on licensees and advisers, it is not surprising that the product design and distribution obligations have largely been overlooked. Read more  DAVID COURT | THURSDAY, 2 SEP 2021 The responsible manager (RM) of a licensee plays a key role under the financial services and credit licensing regimes. Read more  JAMES CAMPBELL , ALEXANDRA MCCAUGHAN | FRIDAY, 27 AUG 2021 In June 2021, consultation closed on the Australian Securities and Investments Commission's (ASIC) draft regulatory guidance [Regulatory Guide 78 Breach reporting by AFS licensees and credit licensees attached to Consultation Paper 340 Breach reporting ... Read more |
Latest News
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.
TA Associates invests in Viridian Financial Group
TA Associates announced it will make an undisclosed investment in Viridian Financial Group to help the latter accelerate its next phase of growth.
Shaw and Partners splashes $63m for New Zealand expansion
Shaw and Partners Financial Services, a subsidiary of EFG International, has acquired a 75% stake in Auckland-based Investment Services Group (ISG) for NZ$67.5 million ($62.5m).
4600 relevant providers yet to meet qualification standards: ASIC
More than 4600 relevant providers have yet to meet qualification standards, according to ASIC, and have only six months to meet the deadline.
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 ...
