'Less serious' misconduct will draw FSCP hearing - Professional Planner
Matters of less serious misconduct may still require a hearing in front of the Financial Services and Credit Panel, according to ASIC.
Source: professionalplanner.com.au
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Where does relevant provider registration with ASIC now stand?
ASIC’s senior executive leader, Leah Sciacca, has provided an update on the status of financial adviser registration with the regulator since it was delayed in November 2022.
Source: moneymanagement.com.au
Advisers have 'critical role to play' in SMSF credibility: Regulators
The health of the SMSF sector is reliant of the professional judgement and expertise of financial advisers, according to regulators from ASIC and the ATO. With a “significant variance” in the knowledge and capability of new and existing trustees in running their SMSFs, planners are needed as gatekeepers to filter out people inappropriately creating their own funds.
Source: professionalplanner.com.au
Compliant but complicated: What lies in store for SOAs?
There’s room for improvement with advice documents and advisers have made suggestions that could save time and effort while enhancing consumer comprehension.
Source: moneymanagement.com.au
Parliamentary Joint Committee On Corporations And Financial Services - Opening Statement - 5 December 2022 - Opening Statement By ASIC Chair Joseph Longo At The Parliamentary Joint Committee On Corporations And Financial Services, 5 December 2022
<p><span>I am pleased to appear before the Committee once more and welcome Senator O’Neill as the new Committee Chair. I am joined today by Deputy Chairs Sarah Court and Karen Chester, Commissioner Sean Hughes, Chief Operating Officer Warren Day, Executive Director of Strategy Greg Kirk, Executive Director of Markets Greg Yanco and our General Counsel Chris Savundra. Commissioner Danielle Press is unable to join us today, so I have asked Senior Executive Leaders Leah Sciacca and Jane Eccleston from our Financial Advisers and Superannuation areas to join us. Jane will join...
Source: mondovisione.com