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Small licensees not immune from ASIC surveillance

Smaller licensees should be aware that they are just as much on ASIC’s radar as their larger counterparts as increased data and technology means the regulator has greater transparency than ever, according to a compliance expert.

Sean grahamSteve prendevilleForte asset solutionsMoney managementAssured support

Amex busted with DDO breach - Professional Planner

American Express is the latest company to run afoul of the DDO regime after the regulator found the credit card company lacked a sufficient TMD describing who the credit cards would be appropriate for and how the cards should be distributed.

Gabriela piranaSean grahamDavid jonesSarah courtDistribution obligationsAmerican expressTarget marketMichelle levyAssured supportProfessional planner principals

If it ain t broke, don t fix it: Graham

Speaking at the Financial Standard Technical Services Forum in Sydney this week, Assured Support managing director Sean Graham said that the Quality of Advice Review is disappointing for advisers who have worked hard to build the foundations of an advanced profession, only to be faced with continuous regulatory changes.

New south walesSean grahamFinancial standard technical services forumAssured supportAdvice reviewMichelle levy

The regulatory squeeze – shaping an industry - Professional Planner

One year on, how have the Red October regulatory changes affected the advice ecosystem and will have the Quality of Advice Review make any further impact? Has the pendulum swung too far and how serious are regulators about pulling it back?

New south walesGabriela piranaChris dastoorSean grahamRed octoberAdvice reviewAssured supportProfessional planner

D&D obligations the ultimate box ticking exercise

D&D obligations the ultimate box ticking exercise
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New south walesSimon swansonTom reddacliffTahn sharpeSean grahamAssociation of financial advisersEncore advisoryFortnum private wealthCorporations actAssured supportFinancial advisersAdvanced diploma