All posts tagged "Financial Advice"
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24Australia & NZNZ FMA Issues Cyber Resilience Guidance for Financial Advisers
Under New Zealand's new financial advice regime, many individuals and entities have not previously been subject to compliance obligations for cybersecurity.
July 30, 2021 -
54Australia & NZAustralia: Industry Body Seeks Greater Clarity on Crypto Regulation
Blockchain Australia has asked for safe harbour to be provided to ensure regulatory action will not be taken against crypto businesses where the law is unclear.
July 30, 2021 -
60Australia & NZASIC Publishes Reference Checking Protocol & Guidance
The protocol and guidance will help financial advisers and mortgage brokers comply with new reference checking and information sharing obligations.
July 23, 2021 -
63Australia & NZ
Australia: Grandfathered Conflicted Remuneration Comes to an End
Only eight product issuers still had grandfathered conflicted remuneration arrangements in place as at 1 January 2021.
July 21, 2021 -
66Australia & NZAustralia Consults on Compensation Scheme of Last Resort
The CSLR will establish an industry-funded compensation mechanism for individuals who have won decisions against insolvent financial firms.
July 21, 2021 -
106Australia & NZWestpac to Pay Remediation Over Corporate Actions Failures
ASIC says it encourages all advice licensees and platform operators to consider their own corporate action management arrangements.
July 5, 2021 -
124FeatureMAS Proposes New Safeguards for Vulnerable Customers
MAS proposes additional safeguards for clients receiving financial advice if they are elderly, not proficient in English, or have lower academic qualifications.
July 1, 2021 -
73Australia & NZAustralia Introduces Bill to Improve Financial Advice
FASEA's functions will transfer to the Treasury and ASIC. New disciplinary and registration systems for financial advisers will apply from January 2022.
July 1, 2021 -
80Australia & NZ
NZ FMA Warns Influencers Against Providing Financial Advice
Social media influencers do not want to find themselves caught offering advice they’re not qualified or authorised to give, warns FMA chief Rob Everett.
June 30, 2021 -
118Fintech / RegtechFSC Korea Set to Grant First Insurance Firms MyData Licences
The granting of licences to insurance companies is expected to help diversify the service areas covered by the MyData platform.
June 27, 2021
