ASIC Forum robo-advice session
4 April 2016
An excerpt from a session at ASIC's 2016 Annual Forum on robo-advice.
The session covers:
- How does robo-advice sit alongside traditional financial advice?
- Where does robo-advice cause the most disruption?
- How does the current regulatory framework apply to robo-advice?
- What are the issues that are unique to robo-advice?
- The podcast also discusses ASIC's Consultation Paper 254 Regulating digital financial advice (CP 254) and draft Regulatory Guide 000 Providing digital financial product advice to retail clients.
Limited AFS licences for accountants providing SMSF advice
2 March 2016
From July 1 this year, accountants will need to have a limited AFS licence if they are providing SMSF advice. ASIC Commissioner Greg Tanzer talks to Hilarie Dunn about why this change is necessary and what it may mean for you.
More information can be found at ASIC's Information Sheet 179.
The role of culture
17 December 2015
ASIC Chairman Greg Medcraft talks about culture and its importance to the financial industry.
Financial services enforcement
19 November 2015
Tim Mullaly (Senior Executive Leader, Financial Services Enforcement at the Australian Securities and Investments Commission) talks about the work he and his team does, the methods they employ to achieve their goals and some of the emerging issues in the financial services sector.
22 October 2014
ASIC Deputy Chairman Peter Kell on ASIC's work around breach reporting, including a review of breach reporting by Australian financial services (AFS) licensees.
8 October 2014
Deputy Chairman Peter Kell on ASIC's recent review of the retail life insurance advice sector.