News : ASIC

ASIC, Auditing, Regulation

Audit go-ahead spotlights auditor registration

Chartered Accountants Australia and New Zealand (CAANZ) and CPA Australia have indicated should the triennial audit cycle for eligible SMSFs proceed, the Australian Securities and Investments Commission (ASIC) may need to review its auditor registration requirements.

read more
ASIC

Court EU slapped on ex-MyPlanner adviser

The corporate regulator has accepted a court-enforceable undertaking (EU) from a former adviser at independently owned financial planning group MyPlanner Australia, prohibiting him from providing advice for three years.

read more
ASIC, Auditing

ASIC disqualifies SMSF auditor

The corporate regulator has disqualified a Queensland SMSF auditor from being an approved auditor for breaching independence requirements.

read more
ASIC, Auditing

SMSF auditor struck off register

The Australian Securities and Investments Commission (ASIC) has banned a New South Wales-based practitioner from being an SMSF auditor after he was found to have breached the independence requirement by which he was bound.

read more
ASIC, Auditing

ASIC reports on SMSF auditor outcomes

The Australian Securities and Investments Commission (ASIC) has removed 76 SMSF auditors from its register since becoming a co-regulator of the SMSF sector in 2013, according to an ASIC report released today.

read more
ASIC, Regulation

ASIC gets enforcement funding boost

The federal government has announced a further $70.1 million in funding for the Australian Securities and Investments Commission (ASIC) to boost its enforcement capability.

read more
ASIC, ETFs

ASIC identifies risks in ETP market

The Australian Securities and Investments Commission (ASIC) has identified a range of risks in the exchange-traded products (ETP) market in Australia following a review prompted by the growing interest from SMSF and retail investors.

read more
ASIC, Education, Regulation

ASIC changes adviser register reporting dates

The Australian Securities and Investments Commission (ASIC) has announced changes to reporting dates for various required notifications in the transition to the new financial adviser education reforms.

read more
ASIC

ASIC bans SMSF adviser, suspends AFSL

The Australian Securities and Investments Commission (ASIC) has banned a Queensland SMSF financial adviser for four years and suspended his Australian financial services licence (AFSL) for failing to act in his clients’ best interests.

read more
ASIC, Auditing, Compliance

ASIC report at odds with three-year audit cycle

The corporate regulator’s findings into SMSF advice, which revealed in 91 per cent of files reviewed advisers were non-compliant, cast further doubt over the validity of the federal government ‘s proposal for a three-year SMSF audit cycle, according to a financial services executive.

read more

Copyright © SMS Magazine 2024

ABN 80 159 769 034

Benchmark Media

WordPress website development by DMC Web.