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

So we are now underwriting criminal scams?...

2 months 3 weeks ago

Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...

2 months 3 weeks ago

Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...

4 months 4 weeks ago

ASIC has suspended the Australian Financial Services Licence of a Melbourne-based financial advice firm....

1 week 5 days ago

The corporate regulator has issued infringement notices to three AFSLs whose financial advisers provided personal advice to a retail client while unregistered....

2 weeks 3 days ago

ASIC has released the results of its first adviser exam to be held in 2025, with 241 candidates attempting the test....

3 weeks 1 day ago