Financial services

Episode 40: SMSF advice

28 June 2018

ASIC Senior Executive Leader Jo Bird joins the podcast to discuss a review of self-managed super funds, and to give some advice to consumers who are thinking of setting up an SMSF.

Read the transcript

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.

ASIC is currently inviting submissions on Consultation Papers 288 and 289. Any submissions, queries or comments can be sent to csf@asic.gov.au. (Submissions are due by 3 August 2017.)

 

Asic Logo Special Podcast 60X40

4 April 2016

An excerpt from a session at ASIC's 2016 Annual Forum on robo-advice.

The session covers:

Listen now or download later - ASIC Forum robo-advice session

Limited AFS licences for accountants providing SMSF advice

Asic Logo Special Podcast 60X40

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.

Listen now or download - limited AFS licence

The role of culture

Asic Logo Special Podcast 60X40

17 December 2015

ASIC Chairman Greg Medcraft talks about culture and its importance to the financial industry.

Listen now or download - the role of culture

 

Financial services enforcement

Asic Logo Special Podcast 60X40

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.

Listen now or download - Financial services enforcement

 

Breach reporting

 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.


Review of retail life insurance advice

8 October 2014

Deputy Chairman Peter Kell on ASIC's recent review of the retail life insurance advice sector.

 

 

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Climate risk disclosure

11 October 2018

ASIC Commissioner John Price joins the podcast to discuss ASIC’s review of climate risk disclosure by listed companies in Australia.

Listen now

Read the transcript

For more episodes, visit The ASIC Podcast at Podbean.

Last updated: 02/10/2018 03:34