November 19, 2019
Life insurer TAL has partnered with Deloitte to deploy a regtech solution which it states is part of its ongoing commitment to ensuring positive consumer outcomes. (more…)
Category | Compliance & Regulation
TAL Announces Regtech Solution for Phone-Based Sales Calls
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0 · November 19, 2019 in Company News, Compliance & Regulation, Services, Technology
0 · November 19, 2019 in Company News, Compliance & Regulation, Services, Technology
FASEA Exam Results Not Inspiring Confidence
The high pass rate experienced in the first two FASEA Adviser Exam series doesn’t necessarily appear to have bolstered confidence among many advisers who are yet to sit the exam. (more…)
CommInsure Pleads Guilty to Hawking Offences
CommInsure has pleaded guilty this week to 87 counts of offering to sell insurance products in the course of unlawful, unsolicited telephone calls. (more…)
ASIC Confirms Relief From Compliance Scheme Obligations in Effect
November 15, 2019
ASIC has taken action to provide certainty to Australian financial services licensees that they will not be in breach of the law because their financial advisers were not able to register with an ASIC-approved compliance scheme by 1 January 2020, as originally required. (more…)
Latest APRA Claims Data Reinforces Adviser Value
Latest APRA claims data continues to reinforce the value of financial advisers when the rubber hits the road. (more…)
Latest Poll – High FASEA Exam Pass Rate
November 12, 2019
We’re keen to establish your confidence level around passing the FASEA Adviser Exam. (more…)
No Changes to Adviser Exam Difficulty – FASEA
FASEA has confirmed the September 2019 round of its Financial Adviser Exam was ‘no more difficult’ to pass than its initial June exam series. (more…)
AFA Launches Stinging Criticism Around FASEA Code of Ethics
The AFA has launched a blistering critique of FASEA’s Code of Ethics ahead of its meeting with the Authority this week. (more…)
ASIC Bans Queensland Adviser
November 8, 2019
ASIC has banned Queensland financial adviser, Mark Rothnie, for three years for failing to act in the best interests of his clients and for failing to provide appropriate advice. (more…)
ASIC Takes Action Against Super Trustee
November 7, 2019
ASIC has commenced action in the Federal Court in South Australia focused on the promotion of the MobiSuper Fund, a division of the Tidswell Master Superannuation Plan (Fund). (more…)
