Both APRA and ASIC express concerns at failure to learn lessons in life/risk sector....

One of Australia’s regulators fears self-managed super funds could expose investors to inappropriate borrowing strategies, but doesn’t see a role for itself in guarding t...

Listed entities should prioritise continuous disclosure obligations over any other stakeholder engagement goals, ASIC Commissioner John Price said....

Class action specialists, Shine Lawyers, are investigating claims against Queensland based financial advice firm FTS....

Credit Suisse has paid a fine of $88,400 for a costly trading error that was not properly reported. ...

ASIC has cancelled the AFSLs of seven licensees who did not have adequate professional indemnity insurance....

ASIC’s enforcement report for the first six months of this year appears to have skirted the issues that made the biggest headlines....

Despite the success of Government initiatives it will take a generation to bring about significant change in Australians’ financial literacy, Parliamentary secretary to t...

The Senate inquiry of ASIC into its handling of the Commonwealth Bank is so negative it has tarnished trust in advisers, according to John Brogden....

ASIC has accepted an enforceable undertaking (EU) from PGW Financial Services....

The Chief Ombudsman has sought to refute claims that FOS is unaccountable and in urgent need of review....

PIS has completed a monitoring program with ASIC stating the group had made significant improvements in compliance and audit functions...

ASIC is seeking industry feedback to proposed changes to the rules that require compulsory trade reporting of OTC derivatives....

Macquarie has used its AGM to claim it is on track in meeting the terms of its 2013 Macquarie Private Wealth enforceable undertaking....