What did you miss this week?

Amid concerns that smaller AFSLs may be flying under the enforcement radar, the corporate regulator has clarified how self-licensed advice firms are monitored and whether they are a growing concern.

The Financial Services and Credit Panel has made its latest two determinations, one regarding possible breaches of conflicted remuneration and the second about non-compliance with CPD.

Insignia Financial has appointed a former ASIC commissioner and superannuation chief executive as chair of its Trustees business.

A former Melbourne financial planner, Bradley Grimm, has been sentenced for dishonest conduct regarding the transfer of self-managed super fund assets.

Overall adviser numbers saw gains last week with 10 new entrants, according to Wealth Data, but a major licensee lost four advisers.