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Compliance

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ASIC sings the praises of tough love
by Staff Reporter • 16 May 2014
Deputy chair Peter Kell told the annual conference that a strong regulatory regime not only protects consumers, it... READ MORE
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ASIC hit hard in $120m Budget cut
by John Batsick • 15 May 2014
ASIC has been told by the federal government that it will need to “adjust its priorities” after it was revealed... READ MORE
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Compliance expert warns industry about insurance
by Staff Reporter • 13 May 2014
The Fold, which specialises in legal and compliance issues for the financial services industry, said ASIC would also... READ MORE
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ASIC target facing jail as court date looms
by Staff Reporter • 7 May 2014
Barry David Hassell of Athelstone appeared in the Adelaide Magistrates Court on May 2 following an ASIC investigation... READ MORE
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Stamp duty must go: Property Council
by Andrew Jennings • 7 May 2014
The Property Council of Australia’s chief executive, Ken Morrison, said the government would abolish stamp duty if... READ MORE
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ASIC reference check plan may be flawed
by Nick Bendel • 10 Apr 2014
ASIC warned in its submission to the Financial System Inquiry that poor reference checking by the financial services... READ MORE
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ASIC sounds alarm about conflicts of interest
by Nick Bendel • 9 Apr 2014
The regulator’s submission to the Financial System Inquiry said it had long been concerned about the problem –... READ MORE
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ASIC told to back off
by Nick Bendel • 31 Mar 2014
A recent poll conducted oline by The Adviser found that 74 per cent of respondents thought ASIC was "prejudiced... READ MORE
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Regulator gives big tick to MFAA
by Nick Bendel • 31 Mar 2014
The deputy chair of the Australian Competition & Consumer Commission, Delia Rickard, said the association imposes... READ MORE
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ASIC investigations lead to two convictions
by Staff Reporter • 28 Mar 2014
ASIC announced that former finance broker Riyanka Puteri Shiraz of Sydney had pleaded guilty to two charges of fraud... READ MORE
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ATO reveals LRBA risk assessment
by Katarina Taurian • 12 Mar 2014
In spite of increased public scrutiny, LRBAs represent a “medium risk”, according to the ATO’s director for... READ MORE
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ASIC says penalties are too soft
by Nick Bendel • 20 Feb 2014
Yesterday, chairman of ASIC Greg Medcraft told a Senate inquiry into the performance of ASIC that the regulator... READ MORE
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ASIC targets loan fraud, threatens jail time
by Nick Bendel • 13 Feb 2014
Commissioner Greg Tanzer said the regulator had a “strong record on enforcement” and had achieved 340... READ MORE
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Liquidator the big winner in $20m Refund Home Loans collapse
by Nick Bendel • 6 Feb 2014
The shell of Refund Home Loans was placed in liquidation in June 2012, a month after Homeloans acquired the... READ MORE
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Five indicators to watch: AMP
by James Mitchell • 16 Jan 2014
US wages growth; global business conditions indicators; European bond yields; Chinese lending; and Australian... READ MORE
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The Adviser is the number one magazine for Australia's finance and mortgage brokers. The publications delivers news, analysis, business intelligence, sales and marketing strategies, research and key target reports to an audience of professional mortgage and finance brokers
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