News : ASIC

ASIC

Court winds up unlicensed SMSF scheme

unlicensed SMSF scheme

Three former advisers and an unlicensed SMSF scheme have been barred from taking client funds by the Federal Court following an ASIC investigation.

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ASIC, Superannuation

ASIC ponders revised fact sheet

ASIC SMSF fact sheet

ASIC is still considering if it will release a revised SMSF fact sheet despite having updated information from the ATO on the cost of running a fund.

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ASIC, Financial Planning

ASIC cancels licence of SMSF advice group

MyPlanner Professional Services licence

ASIC has cancelled the licence of a now-liquidated Queensland-based advice group that offered SMSF advice and services to clients.

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ASIC, Financial Planning

ASIC to sharply hike adviser levies

ASIC adviser levies

ASIC has called for feedback on changes to its industry-based funding as it proposes a substantial increase in levies for financial advisers.

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ASIC, Financial Planning

Henderson charged with dishonest conduct

Sam Henderson dishonest conduct

A banned financial adviser who was the subject of scrutiny at the financial services royal commission will face charges related to misrepresenting his qualifications to give advice.

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ASIC

Adviser banned for blanket LRBA advice

adviser banned LRBA

ASIC has banned a former representative of Spectrum Wealth Advisers after he gave LRBA and SMSF advice that was inappropriate to client needs.

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ASIC

ASIC permanently bans SMSF adviser

SMSF adviser permanently banned

ASIC has permanently banned an ACT-based SMSF adviser from providing financial services as a result of not considering the best interests of clients.

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ASIC, Auditing

ASIC disqualifies four SMSF auditors

ASIC disqualified SMSF auditors

ASIC has disqualified four SMSF auditors and suspended two more as part of ongoing action against SMSF auditor misconduct.

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ASIC

Govt welcomes new ASIC relief measures

ASIC relief measures

ASIC’s new temporary relief measures to assist the financial advice industry during the COVID-19 pandemic have been welcomed by a senior government minister.

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ASIC, Financial Planning

Early access advice simplified

ASIC financial advice COVID-19

ASIC has announced temporary relief measures to assist the financial advice industry during the COVID-19 pandemic, including relaxed rules around the provision of advice.

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