AFS LICENSE

Financial planning

The regulatory watchdog has suspended the AFS licence of NWQ Capital Management, trustee of two unregistered managed investment schemes, until January 2024....

Financial planning

With or without code monitoring bodies or a single disciplinary body, some licensees have been breach-reporting to ASIC on adviser code breaches....

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Financial planning

More than 400 Dover Financial Services advisers face an uncertain future amid confirmation of cancellation of the firm’s Australian Financial Services License and consequ...

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Financial planning

The Australian Securities and Investments Commission has declared its intention to target licensees misusing general advice in product sales to avoid their best interests...

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MARKET INSIGHTS

GG

So shareholders lose a dividend plus have seen the erosion of value. Qantas decides to clawback remuneration from Alan ...

2 months 1 week ago
Denise Baker

This is why I left my last position. There was no interest in giving the client quality time, it was all about bumping ...

2 months 1 week ago
gonski

So the Hayne Royal Commission has left us with this. What a sad day for the financial planning industry. Clearly most ...

2 months 1 week ago

A Sydney-based financial adviser has been banned from providing financial services in the interest of consumer protection after failing to act on conduct concerns. ...

3 weeks 3 days ago

ASIC has cancelled the AFSL of a $250 million Sydney fund manager, one of two AFSL cancellations announced by the corporate regulator....

3 weeks 1 day ago

Having divested its advice business in August, AMP is undergoing restructuring in at least four other departments amid a cost simplification program....

2 weeks 5 days ago