Regulation

Joanna Bird, Dante De Gori, Kelly Power: Regulating in a crisis

ASIC is moving to grant industry relief to provide affordable and timely advice during a crisis. The regulator covers its latest announcements and participates in a Q&A covering the following topics:
•  Changes in ASIC priorities
•  Relief over provision of advice – why it was given and ongoing monitoring work
•  Unlicensed advice
•  Unmet advice needs project

Speakers:

  • Joanna Bird, executive director, Australian Securities and Investments Commission
  • Dante De Gori, chief executive, Financial Planning Association
  • Moderator: Kelly Power, general manager remediation, product and marketing, Colonial First State

Take the QUIZ to earn your CPD points

Question 1
* Which of these is not a project that has been delayed at ASIC by the COVID-19 pandemic?
Question 2
* According to ASIC, technology can make advice more what?
Question 3
* What is happening to the use of ROAs in advice?
Question 4
* The FPA is surveying members around the use of what?
Question 5
* ASIC has a taskforce looking at what currently?

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