The corporate regulator has named its new chief executive, who is set to replace retiring interim CEO Greg Yanco in March....
The volume that financial advisers have invested in private credit funds could be among disclosures that providers have to make to ASIC amid a regulatory crackdown on pri...
Sanlam Private Wealth has admitted to breaching its AFSL obligations in areas such as failing to have an adequate number of experienced responsible managers and provided ...
Assured Support explores five tips to help financial advisers embed compliance into the heart of their business, with 2025 set to see further regulatory change....
As AFSLs endeavour to meet their breach reporting obligations, a legal expert has emphasised why robust documentation will prove fruitful, particularly in the face of pot...
A relevant provider has received a written direction from the Financial Services and Credit Panel after a superannuation rollover resulted in tax bill of over $200,000 fo...
ASIC has announced its finalised industry funding levy, detailing how much licensees will have to pay for the 2023-24 financial year and how it compares to original estim...
The corporate regulator has cancelled two AFSLs, one against a Western Australia financial advice firm and one against an individual. ...
A legal expert has flagged there is growing tension in the industry as ASIC considers naming licensees in its breach reports, with such a move potentially deterring proac...
The proportion of candidates passing the advice exam in 2024 has risen by more than a third but a notable gap exists between those who have qualified and those who are ac...
Nick Hilton, newly appointed as executive general manager for advice delivery at Entireti following the AMP acquisition, is among seven individuals stepping back from the...
Administrator Deloitte has shared how much Shield Master Fund investors could receive in estimated returns if the scheme is successfully wound up. ...
Candidates waiting until they feel confident to sit the exam has helped the pass mark for the financial advice exam reach the highest since ASIC took over its administrat...
A former South Australian financial adviser, who also authored two personal finance books, has been banned by ASIC for a period of seven years....
ASIC has released the results for the November sitting of the financial adviser exam, with the pass mark sitting substantially higher than in August....
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...
This verdict highlights something deeply wrong and rotten at the heart of the FSCP. We are witnessing a heavy-handed, op...
Interesting. Would be good to know the details of the StrategyOne deal....