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Category | Compliance & Regulation

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Returned Government a Boost for Advisers?

Our latest poll is checking on how you think the result of last weekend’s federal election may impact your advice business. (more…)

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6 · May 21, 2019 in Compliance & Regulation, General, Polls  
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Return of Coalition Eases Pressure on Future of Risk Commissions

The majority of advisers and other industry stakeholders appear more optimistic about the future of their business and that of the broader life insurance and financial advice sectors under a returned Coalition Government. (more…)

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6 · May 21, 2019 in Compliance & Regulation  
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First FASEA Exam Announced

FASEA has released details for the first round of exams it will be conducting for financial advisers and new entrants to the advice sector, including the release of a set of test questions. (more…)

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7 · May 20, 2019 in Compliance & Regulation  
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APRA Ultimatum to Insurers on Income Protection

The Australian Prudential Regulatory Authority has sent letters to insurers in which it calls on them to urgently address concerns it has with the sustainability of individual disability income insurance. (more…)

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2 · May 3, 2019 in Compliance & Regulation, Products  
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ClearView Call to Action on Risk Commissions

ClearView Wealth has undertaken a series of initiatives intended to consolidate support for the retention of life insurance commissions. (more…)

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2 · April 30, 2019 in Company News, Compliance & Regulation, Remuneration  

ASIC Focus on Client Best Interests

For the third consecutive week, ASIC has announced action against advisers over client best interests failures. (more…)

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0 · April 29, 2019 in Compliance & Regulation  

Adviser Banned Over Best Interests Concerns

ASIC has banned Adelaide-based adviser, Peter Anthony Chigwidden, from providing financial services for a period of five years. (more…)

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· April 18, 2019 in Compliance & Regulation  
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ASIC Bans Adviser Over Client Best Interests Issues

Queensland-based adviser, Gregory Forster, has been banned by ASIC from providing financial services for a period of five years. (more…)

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0 · April 16, 2019 in Compliance & Regulation  

APRA Flags Tougher Enforcement Approach

The Australian Prudential Regulation Authority has indicated it will be less patient with uncooperative entities in future and more forceful in expressing its specific expectations. (more…)

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0 · April 16, 2019 in Compliance & Regulation  
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Stronger Support for Victims of Financial Misconduct

The Federal Government has announced the implementation of two measures that will expand access to redress for consumers and small business victims of financial misconduct. (more…)

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0 · April 8, 2019 in Compliance & Regulation