ASIC has spent a lot of its time since the Hayne royal commission trawling over client files and assessing advice processes at the big end of town, but that doesn’t mean its gaze won’t shift to medium and smaller licensees.
Conrad TraversOctober 15, 2019
The head of the FPA expressed heartfelt disappointment at the government’s backflip on a code monitoring body solution. ‘We got so close’, he tells Professional Planner.
Tahn SharpeOctober 11, 2019
Prompted by a negative report from the regulator, the new agency has questioned firms’ resolution times and communication with clients.
Tahn SharpeDecember 17, 2018