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Advice compliance measures need to add up: Mintegrity

Advisers should take a proactive approach to compliance, which can enhance the reputation of their firm and reduce the risk of regulatory enforcement action according to Mintegrity.

Amanda Mark | 6th Dec 2023 | More
Death benefit litigation puts SMSF management in focus

Litigation involving estate planning and superannuation is ramping up, with major impacts on self-managed super funds, and in particular trustee obligations. Cooper Grace Ward partner Hayley Mitchell discusses key recent case law and what it means for estate planning and SMSF management.

Lisa Uhlman | 25th Jan 2023 | More
  • ASIC ‘neutral’ on SOA format, video statements good to go

    The Corporations Act is “technology neutral” according to ASIC, so video SOAs are acceptable as long as they include the eight or so standard compliance requirements.

    Tahn Sharpe | 28th Nov 2022 | More
    Advisers urged to tread carefully with ‘wholesale investor’ status

    Specialist self-managed super fund advisers need to tread cautiously before giving a client “wholesale investor” status.

    Staff Writer | 28th Jul 2022 | More
  • Advice complaints trend remains positive

    The fact that just 281 complaints were lodged about ‘failure to act in client’s best interests’ and 241 for the providing “inappropriate advice’, shows the legislative changes may well be having a positive impact on the industry. 

    Staff Writer | 22nd Jul 2022 | More
    ASIC updates guidance for ‘warnings and reprimands’

    ASIC has just released an information sheet allowing it to issue warnings and reprimands to financial advisers that do the wrong thing. If you’re a financial adviser, you’ll definitely want to take note of the key messages from the document.  

    Ishan Dan | 9th Jun 2022 | More
    AFCA confirms a new user pays model to cover costs

    Following on from last week’s article titled, ‘Ombudsman seeks to simplify complaint treatment,’ The Australian Financial Complaints Authority (AFCA) today confirmed it will put into place a ‘user-pays’ funding model that is fair, transparent and equitable.

    Ishan Dan | 2nd Jun 2022 | More
    Ombudsman seeks to simplify complaint treatment

    The Australian Financial Complaints Authority, the external dispute resolution group of which all financial advisers must be members, this week announced significant changes to their assessment process of new complaints.

    Staff Writer | 16th May 2022 | More
    Funding model, wholesale test lead FPA’s election platform

    The Financial Planning Association (FPA) has outlined its policy platform, or target areas for the next Federal Government.

    Staff Writer | 2nd May 2022 | More
  • Stockbrokers association drops financial advice monitor

    The Stockbrokers and Financial Advisers Association (SAFAA) is changing its name to the Stockbrokers and Investment Advisers Association (SIAA). The subtle change of replacing ‘Financial’ with ‘Investment’ Advisers is believed to better reflect the new SIAA’s broader purpose and its place in the industry. The old word, “financial,” was inaccurate and slightly misleading, according to…

    Ishan Dan | 28th Mar 2022 | More
    ASIC warns fundies on “misleading” marketing, wholesale exemption

    The Australian Securities and Investments Commission (ASIC) has cast a spotlight on the managed funds industry by commencing surveillance into the marketing of managed funds. The corporate watchdog is looking to catch-out fund managers using misleading performance data and risk representations in their promotional material, whether it be traditional or digital marketing. ASIC Deputy Chair…

    Ishan Dan | 24th Mar 2022 | More
    Senate inquiry highlights challenge facing advisory market

    The Compensation Scheme of Last Resort, or CSLR, has become something of a lightning rod for the finance industry in 2022; and yet we are less than a month into the year. While almost every impacted party agrees on the importance of the new scheme, few can agree on who should pay for it, and…

    Drew Meredith | 31st Jan 2022 | More
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