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 ago

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

2 months ago

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

4 months ago

Entireti has unveiled the new name for the AMP financial advice businesses that it acquired last year....

4 weeks 1 day ago

A Sydney financial adviser has been permanently banned from providing any financial services, with the regulator deriding his “lack of integrity, trustworthiness and prof...

3 weeks ago

Minister for Financial Services, Stephen Jones, has provided further information about the second tranche of the Delivering Better Financial Outcomes (DBFO) reforms....

1 week 6 days ago