ASIC BANS

Financial planning

New analysis from Wealth Data has revealed that some 175 advisers have been affected by disciplinary actions over the last nine years....

Policy & Regulation

With at least five financial adviser bans, including an adviser who falsified his exam result, the corporate regulator has had a busy start to the year. ...

Financial planning

Two life/risk advisers have entered into enforceable undertakings with the Australian Securities and Investments Commission which will see them being overseen by independ...

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Policy & Regulation

The Federal Court in Melbourne has ordered a land banking scheme and its associated company to be wound up....

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Accounting

A Melbournian accountant who appeared before the Magistrates’ Court of Victoria has been charged....

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Financial planning

ASIC has accepted an enforceable undertaking from Australian financial services licensee AIW Dealer Services....

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Policy & Regulation

ASIC has permanently banned a Melbourne couple who used their business to facilitate a home loan whilst already banned....

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Financial planning

A former Commonwealth Bank of Australia financial planner has been sentenced by the Brisbane Magistrates Court over signature forgeries. ...

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Financial planning

The Administrative Appeals Tribunal has affirmed the regulator’s initial decision to ban former financial adviser, Tony Davidof for a period of three years....

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Financial planning

The Australian Securities and Investments Commission has cancelled the license of financial adviser, Michael James Haley....

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Financial planning

The Australian Securities and Investments Commission has banned the two directors of Melbourne firm, Found Financial....

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Financial planning

The Australian Securities and Investments Commission has negotiated additional conditions on the AFSL of MyPlanner Australia....

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Financial planning

The Australian Securities and Investments Commission has permanently banned insurance product referrer, Tracey Joanne Burnell....

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Financial planning

The Australian Securities and Investments Commission has accepted an enforceable undertaking from Foster Stockbroking Pty Limited....

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Financial planning

A Queensland planner has been sentenced to 10 years imprisonment by the Brisbane District Court on 25 separate charges brought by the Commonwealth Director of Public Pros...

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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 3 weeks ago

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

1 week 3 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 2 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 ago