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ASIC reminds licensees of ongoing registration obligations

ASIC has reminded advisers that their registration requirements are an ongoing obligation, having met the first deadline on 16 February, and highlighted when a registration may cease.

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Advisers urged to check ASIC registration status

Despite the February 1 deadline fast approaching, the Financial Advice Association Australia (FAAA) says there's close to 6000 financial advisers who are still not registered with ASIC.

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ASIC Urges AFS Licensees To Register Their Financial Advisers And Provides A Short Extension To Facilitate Compliance

ASIC Urges AFS Licensees To Register Their Financial Advisers And Provides A Short Extension To Facilitate Compliance
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Thousands of advisers risking career without new ASIC registration

Almost 6,000 financial advisers have just two weeks to register with ASIC if they wish to continue to provide advice with the FAAA warning “a lot is at stake” if they remain unregistered.

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6k advisers face risk of being unable to provide advice, warns FAAA

The FAAA has cautioned that some 6,000 advisers are yet to register with ASIC under a new obligation. In a statement on Wednesday, the Financial Advice Association Australia (FAAA) said nearly 6,000 f

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ASIC delays adviser registration date for third time

With just days until the previous scheduled date of 1 October, ASIC has once again delayed the date that relevant providers must be registered.

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FSCP puts SOA mistakes in the spotlight

A relevant provider that used an inaccurate SOA to induce a client to switch superannuation funds is the subject of the Financial Services and Credit Panel’s latest complaint.

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FSCP publishes first adviser misconduct verdict

Single disciplinary body the Financial Services and Credit Panel has published its first outcome, relating to an adviser who impersonated a client on the phone.

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Aussie regulator extends date for financial adviser registration

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FSCP fully operational and will address 'less serious' misconduct: ASIC

Leah Sciacca, ASIC senior executive for financial advisers, has outlined some of the activities of the Financial Services and Credit Panel, which commenced operations last year.

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