ASIC is urging insurers to improve their consumers’ understanding of what their no-claims discount scheme offer....
Equity Trustees Limited and Como Financial Services have each paid penalties of $20,400 over “potentially misleading” information....
ASIC has banned a Queensland based financial adviser from providing financial services for five years for misleading conduct and inappropriate advice....
ASIC may take enforcement action against individual financial planners who provided advice on complex products after 10 licensees have been involved in taking corrective ...
ASIC banned former Provident Capital MD from managing corporations for five years and providing financial services for seven years....
ASIC has released updated guidelines regarding Enforceable Undertakings (EU) stating it would provide further details as to the level of compliance attained by groups iss...
ASIC deputy chairman, Peter Kell, says the regulator is not yet facing a rush by accountants to be licensed....
A Gold Coast accountant will serve an eight month sentence by way of an intensive correction order, after pleading guilty to misleading ASIC....
Macquarie Group will compensate 80 clients, or around 13 per cent of cases reviewed in its client remediation work, but more may follow....
ASIC has cancelled the licence of a margin foreign exchange business for making frequent changes to one of its user platforms, but failing to document them. ...
ASIC has flagged concerns about social media posts by a Bitcoin miner, announcing its intension to list on the ASX, despite not having lodged documentation with the regul...
ASIC warns retail investors against the risks of dealing with unlicensed binary options providers singling out Opteck.com in specific warning. ...
Macquarie Equities Limited has completed the two year term of its enforceable undertaking reducing it adviser numbers in Macquarie Private Wealth by 25 per cent....
Former FPA chairman, Matthew Rowe argues that the changing dynamics impacting the financial planning industry makes it inevitable that some organisations will wither and ...
The ASIC adviser register is intended to be up and running on 31 March....
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 ...