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‘Markets are changing’: ASIC’s gaze turns to private capital providers

Like the Reserve Bank, ASIC is keenly aware that the rise of private markets, and especially private equity, creates both “upside and downside risks” to an efficient and fair economy. But it’s ASIC that sits in the first line of defence, and its new cohort of commissioners are determined to keep this burgeoning market clean.

Tahn Sharpe | 20th May 2024 | More
‘Completely unfair’: Advisers to be slugged another $4,165 over Dixons CSLR bill

Costs for the compensation scheme are spiralling out of control, with the FAAA estimating another $4,165 will be added to every adviser’s CSLR bill – bringing the estimated total to $5,709 – if the funding model isn’t re-examined.

Tahn Sharpe | 13th May 2024 | More
  • Licensing update: Learning from Lanterne

    ASIC’s successful case against the rogue “licensee for hire” serves as a timely reminder of what can happen when AFSLs aren’t on top of their compliance responsibilities. Here are ten tips to avoiding the same fate.

    Sean Graham | 22nd Apr 2024 | More
    Industry ‘backed up’, waiting to invest in QAR reforms amid election uncertainty

    The government’s reform package may be flawed, but it’s crucial that the first tranche goes through parliament before the next election, Abood said. Further delays will stall vital investment in the financial advice industry.

    Tahn Sharpe | 18th Apr 2024 | More
  • QAR legislation stumbles on prohibitive super fund advice fee rules

    It was assumed by industry that a glaring gaffe in the government’s draft legislation, which forces super funds to assess every piece of advice before deducting advice fees, would be amended in the final bill.

    Tahn Sharpe | 28th Mar 2024 | More
    CSLR adds to the burden on industry it’s meant to support: FAAA

    There are several bones of contention that the FAAA, and the industry more broadly, has with the compensation scheme’s settings, despite supporting it in principle. At the heart of it is the government’s repeated willingness to foist retrospective punishment on the good for the sins of the bad.

    Tahn Sharpe | 20th Mar 2024 | More
    Advisers warned: Choice super returns must be monitored and explained

    Advisers should treat Choice super performance as a “primary consideration,” the commissioner stated, while licensees should have “rigorous processes” for underperformance as part of their APL program.

    Tahn Sharpe | 29th Feb 2024 | More
    SMSF advice review to focus on set-up suitability and early access: ASIC

    Both illegal early access and SMSF suitability are known concerns of the regulator, but Sciacca noted that the driver of this review is ASIC’s desire to audit the efficacy of its earlier guidance on SMSF advice. 

    Tahn Sharpe | 22nd Feb 2024 | More
    Advice review to help consumers move up advice ‘continuum’: Panel

    Bringing super funds and other institutions into the advice ecosystem should benefit consumers by creating an organic path for them to follow as their needs become more complex. More would benefit if the review also took into account the SMSF capabilities of accountants, stakeholders believe.

    Tahn Sharpe | 21st Feb 2024 | More
  • The 6 ways policymakers can fix advice in the 2024/25 budget: FAAA

    The collation of issues is an important marker for how many areas of advice legislation still need improvement for the industry to thrive, with fairness at the heart of all the proposals put forward by the association.

    Tahn Sharpe | 5th Feb 2024 | More
    Jones’ advice dilemma: How to foster Holden advice provision in a Rolls Royce industry

    The concept of a ‘qualified adviser’ with less qualifications provoked an industry backlash. While the government has signalled it is open to discussion, the problem remains – how to open up advice to more consumers at a viable cost?

    Nicholas Way | 22nd Jan 2024 | More
    “A lot is at stake”: Thousands of advisers risk deregistration in February

    As advisers trickle back into the office after summer holidays, many will be confronted with the an urgent regulatory requirement that, if ignored, could see them unable to legally provide advice.

    Tahn Sharpe | 17th Jan 2024 | More
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