Mike Taylor writes that when the Government introduced the ‘significance test’ to the AFSL breach reporting regime in 2003 it was seen as sensible moderation but all that...

The corporate regulator has cancelled the AFSL of mortgage scheme responsible entity, DD&D Securities for failing to comply with obligations....

Capstone Financial Planning has advised that it is not related to Capstone Capital after the corporate regulator cancelled Capstone Capital’s AFSL....

The corporate watchdog has cancelled the AFSLs of Capstone Capital and Rebate Financial Services....

ASIC has cancelled the AFSL of liquidated firm, Aquaint Capital, the responsible entity for Aquaint Income Fund....

ASIC has cancelled Sovereign MF’s AFSL as liquidators are in the final stages of winding up its schemes....

ASIC has cancelled the AFS licence of a Sydney-based firm, Core Insurance, for failing to lodge financial statements and auditor reports. ...

ASIC has refused to grant relief to an entity seeking exemption to hold an AFSL to develop and use a robo-advice tool for use by super fund trustees on their websites....

ASIC has concluded monitoring dealer group, Lionsgate Financial Group after it imposed additional conditions on the firm’s AFSL in 2013 for failure to ensure its advisers...

A former Guardian adviser found moving to a new licensee as an authorised representative provided her with comprehensive insight into her business and ASIC’s compliance p...

A law firm has warned AFSLs and credit licence applicants can expect ASIC to take a tougher approach to assessing their applications but the exact requirements were not c...

ASIC has suspended the AFSL of Paramatta-based firm, Rural and General Insurance Broking, for failing to lodge financial statements....

ASIC has cancelled Lotus Securities AFSL after it breached several of its key obligations. ...

ASIC cancelled The Sharemarket College’s AFS licence and banned its responsible managers from providing financial services for making misleading claims....