ASIC concerns about financial advice relating to complex products has led to 10 licensees undertaking corrective action. 15-036MR. 24 Feb
We are making enquiries into a number of responsible entities of registered managed investment schemes regarding their risk management practices. 15-020MR. 13 Feb
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
ASIC Deputy Chairman Peter Kell talks about breach reporting.