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ASIC
Financial planning
ASIC has permanently banned a Tasmanian adviser from providing financial services due to false information in relation to his qualifications....
Financial planning
ASIC deputy chairman, Peter Kell, has delivered an optimistic assessment of progress in improving the advice culture but has warned of a long journey ahead....
Financial planning
ASIC has commenced civil proceedings against Ben Jayaweera and Growth Plus Financial Group after it contravened its Australian Financial Services licence....
Policy & Regulation
ASIC has cancelled Lotus Securities AFSL after it breached several of its key obligations. ...
Financial planning
ASIC has permanently banned former Deutsche Bank’s trader, Andrew Donaldson, from providing financial services for making false entries into records....
Funds management
Huntley Management has earned the ire of ASIC after using advertising material to claim the managed investment schemes for which it was the responsible entity were approv...
Funds management
ASIC has tightened the regulatory framework for charities that raise investment funds, following a review of their activities. ...
Financial planning
A former Illawong financial adviser has appeared in court on 19 charges of engaging in dishonest conduct with investor funds, including their self-managed superannuation ...
Policy & Regulation
The Australian Securities and Investments Commission has been playing catch-up on robo-advice and has set the regulatory bar too low, according to Adviser Intelligence's ...
Superannuation
Property developer, LT Management, has been slapped with a $10,800 infringement notice for false representations that establishing an SMSF would be free. ...
Financial planning
ASIC has banned former BTFG financial adviser, Michael Mahoney, from providing financial services for four years for misleading and deceptive conduct when providing insur...
Financial planning
ASIC has discontinued proceedings against two out of five of the former directors of the collapsed Gold Coast-based fund manager, LM Investment Management....
Financial planning
ASIC has permanently banned a former Queensland AMP Financial Planner representative from providing financial services for providing inappropriate advice and borrowing cl...
Financial planning
ASIC has suspended the Australian financial services licence (AFSL) for Melbourne-based firm, Allegianz, for failure to lodge financial statements and auditor reports....
Financial planning
ASIC’s guidance of digital advice should apply to all financial advisers because of the way financial advice businesses are structured, lawyers believe....
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So shareholders lose a dividend plus have seen the erosion of value. Qantas decides to clawback remuneration from Alan ...
This is why I left my last position. There was no interest in giving the client quality time, it was all about bumping ...
So the Hayne Royal Commission has left us with this. What a sad day for the financial planning industry. Clearly most ...