Episode 40: SMSF advice
28 June 2018
Episode 32: Add-on insurance
16 March 2018
ASIC Senior Executive Leader Michael Saadat joins the podcast to discuss add-on insurance, and ASIC's work to shine a light on poor practice, remediation outcomes, and efforts to protect consumers in the future.
Episode 31: Conflicts of interest in financial advice
5 February 2018
ASIC Senior Executive Leader Jo Bird joins the podcast to talk about the results of Report 562: Financial advice: vertically integrated institutions and conflicts of interest, a new report into conflicts of interest in financial advice at the biggest financial institutions in Australia.
Episode 30: Risk management systems
19 January 2018
ASIC Senior Manager Tim Walker joins the podcast to discuss Regulatory Guide 259, the importance of well-implemented risk management systems, and ASIC's expectations in this area.
Episode 29: ASIC’s Annual Report
26 October 2017
Former ASIC Chairman Greg Medcraft joins the podcast to discuss ASIC's Annual Report for 2016-17.
Episode 28: ASIC's Data Strategy
19 September 2017
ASIC's Chief Data Officer John Wallace joins the podcast to discuss ASIC's 2017-20 Data Strategy. You can read the data strategy at ASIC's website.
Episode 26: Investors and initial public offerings
31 August 2017
Jane Eccleston, ASIC Senior Executive Leader, Corporations, joins the podcast to discuss ASIC's recent report into investors and initial public offerings.
Both the media release and the report can be found here.
Episode 25: Crowd-sourced funding
19 July 2017
ASIC Commissioner John Price joins the podcast to discuss recent law reform around crowd-sourced funding and ASIC's role in administering the new legislation.
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.