ASIC arguably chose a poor strategy when it sought to reassure consumers about its inaction on matters relating to the Reserve Bank of Australia-related companies, Secure...

South Australian finance broker and a Victorian auditor removed from industry after compliance failures....

ASIC warns of best interest duty breaches where dealer groups take a ‘cookie-cutter’ approach....

ASIC deputy chairman Peter Kell has used his speech at the AFA national conference to announce major surveillance of retail advice with respect to life insurance. ...

An accountant involved in the collapse of Dollarforce Financial Services has been sentenced after being charged with making false and misleading statements....

Regulator removes five timber schemes after manager struggles with tough year....

ASIC chairman Greg Medcraft defends ASIC’s record, claiming the media misunderstands the regulator’s relationship with the AFP....

Existing levels of adviser education should be considered a pathway to degree level qualification....

The Federal Treasurer, Joe Hockey, has signalled a “son of Wallis” review of the Australian financial system and, as Mike Taylor writes, the industry is already starting ...

The Australian Securities and Investments Commission (ASIC) has changed the definition of ‘hedge fund’ in a bid to tighten disclosure requirements for higher-risk schemes...

ASIC confirms GTL TradeUp has entered liquidation....

Perth-based Chambers Investment Partners has had its Australian financial services licence cancelled after the company failed to obtain professional indemnity insurance a...

ISA and AIST call for simpler process around lifting advice qualification standards....

Sonray director Russell Johnson faces sentencing next month after pleading guilty to seven ASIC charges in the Victorian Supreme Court....