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: Australian Regulatory Compliance ReviewASIC?s financial advice regulation priorities
By admin
ASIC has announced that in 2011 it will be focussing on the following financial advice themes:
- aggregator licensees;
- quality of advice;
- advice relating to complex products such as capital guaranteed products; and
- the use of managed discretionary accounts.
ASIC has also announced it will be examining the quality of financial advice via ?shadow shopping? research, with a focus on advice provided to people at retirement.
Full post as published by Australian Regulatory Compliance Review on March 21, 2011 (boomark / email).
Stock Market Losses
alleging bad financial advice and conflicts of interest.
Financial Elder Abuse - Financial Exploitation, Elder Abuse Lawyers
Financial Elder Abuse alleging seniors are taken advantage of for their finances.
Frank Bluestein, The Maximum Financial Group, Inc., Questar Capital Corporation, and Gunnallen Financial, Inc.
alleging schemed investors out of hundreds of millions of dollars.
Meta Financial Group, Inc CASH Securities Fraud
Meta Financial Group, Inc CASH
Meta Financial Group, Inc 401(k) / ERISA Stock Fraud
Meta Financial Group, Inc 401(k) / ERISA Stock Fraud
Regions Financial Corporation 401(k) / ERISA Stock Fraud
Regions Financial Corporation 401(k) / ERISA Stock Fraud
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