CBA says it has worked with customers to “put things right”, after the corporate regulator moved to address inconsistent compensation to customers of two CBA-owned planni...

Australian Mutual Holdings Limited receives $20,400 in penalties after ASIC issues two infringement notices over PDSs. ...

ASIC declares it is taking a close look at one-stop shops seeking to traverse SMSF establishment and property investment. ...

ASIC has accepted an enforceable undertaking from a Gold Coast advisory group related to deficiencies in monitoring and supervising its planners...

The FPA is concerned that Budget cuts impacting ASIC may, in turn, impact planners in higher costs....

Measures in the Abbott Government’s inaugural budget have divided financial planning groups, prompting both praise and condemnation. ...

The Australian Securities and Investments Commission (ASIC) has been told by the Government to “adjust its priorities” to achieve savings of $120.1 million over five year...

A Budget user-pays approach to financial services regulation could hit licensee and other planning costs....

The AFP and ASIC have charged an ABS public servant and a NAB employee with insider trading netting $7 million....

Businesses that sell general or life insurance, or offer credit as an ‘add-on’ insurance offering, should be on guard as they come under ASIC scrutiny, a law firm warns....

ASIC should outsource PDS approvals to an independent research panel funded by planner levy. ...

ASIC considers allowing managed investment schemes to be automatically registered, with non-compliant schemes regulated by stop-orders....

A Sydney finance executive has been charged with insider trading after allegedly operating on insights from a close friend who was employed by a large financial services ...

With the increased scrutiny of self-managed super funds (SMSF) from the regulator, the soon-to-be-introduced penalty regime for trustees and the increasing diligence of S...