A Sydney director has been banned for three years after an Australian Securities and Investments Commission (ASIC) investigation found he was unfit to engage in credit ac...

Ibbotson Associates’ Matthew Esler highlights that effective client engagement not only empowers financial planners with the key to unlocking scaled advice but also ensur...

Many financial advisers are talking the talk when it comes to estate planning, but will they walk the walk? Tim Stewart reports that estate planning needs to be more than...

Some of ASIC's proposed legal obligations for a custodian are unworkable, according King & Wood Mallesons director Damien Richard. ...

ASIC Commissioner Peter Kell said dealer group AAA Financial Intelligence had an “appalling record” when it comes to ensuring the advice provided was fair and honest....

A Victorian insurance broker has pleaded guilty to stealing over $660,000 of clients’ money over a seven-month period....

SPAA has urged auditors to register early with ASIC to ensure they can undertake SMSF audits from 1 July 2013....

The Federal Government has reaffirmed its intention to leave intra-fund advice out of the FOFA adviser charging regime....

While financial planners accept the reasons they are required to hold Professional Indemnity insurance, there are signs the system needs a review....

Will 2013 be the defining year for self-managed super funds? Bryan Ashenden's policy overview discusses the implications for advisers....

ASIC report on relief decisions has revealed the regulator's steadfast attitude on PI....

ASIC has cancelled the financial services licence of AAA Shares, a national dealer group based in Adelaide....

Some financial services licensees claim parts of the regulatory guidance on scaled advice are still open to interpretation - which could potentially lead to liability iss...

ASIC alleges Oliver Peter Curtis made over $1 million in profit by participating in an insider trading conspiracy with the convicted tipper John Hartman....