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Action on deficient advice on complex structured investment products

ASIC concerns about financial advice relating to complex products has led to 10 licensees undertaking corrective action. 15-036MR. 24 Feb

ASIC enquires into risk management by responsible entities

We are making enquiries into a number of responsible entities of registered managed investment schemes regarding their risk management practices. 15-020MR. 13 Feb

Update on the implementation of ASIC register for financial advisers

We are well advanced with work on an industry-wide public register of financial advisers to be up and running at the end of March. 15-021MR. 11 Feb

More financial services releases

Breach reporting

Pk Breach Reporting

ASIC Deputy Chairman Peter Kell talks about breach reporting.

Watch the video

Last updated: 02/02/2015 05:23