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ASIC
People & Products
Delia Rickard, who spent over a decade at the ACCC and had previously been a senior executive at ASIC, has joined the board of the financial wellbeing organisation. ...
Superannuation
ASIC has banned Gold Coast-based director Darren Thomas Edden-Brown for eight years for promoting and helping consumers access their superannuation early to buy a home or...
Financial planning
A Tasmanian director has been sentenced to jail for a $1.8 million fraud scheme, where many of the victims were pensioners who had been targeted by cold-callers. ...
Policy & Regulation
With finfluencer Tyson Scholz receiving a permanent injunction, a global regulatory report, co-chaired by ASIC, has shed light on what the future could look like for finf...
Financial planning
A former Brisbane-based financial adviser has been permanently banned from any involvement in financial services. ...
Financial planning
If all FPA/AFA members join, over half of the Financial Advisers Register could be members of the new FAAA and the organisation will have to work to meet the needs of the...
Financial planning
The Court found the officers of Linchpin Capital Group and Endeavour Securities breached their duties in managing a $17 million managed investment scheme and did not act...
Policy & Regulation
With at least five financial adviser bans, including an adviser who falsified his exam result, the corporate regulator has had a busy start to the year. ...
Financial planning
Financial adviser Jeneve Matai’s ban for providing a ‘layered advice’ strategy would remain after his appeal to the Administrative Appeals Tribunal was refused. ...
Funds management
The global asset manager has received a formal warning from the New Zealand financial regulator after failing to disclose earlier ASIC infringement notices as required un...
Financial planning
A Perth financial planning firm has pleaded guilty to three charges of dishonest conduct by falsifying information on client insurance forms....
Financial planning
ASIC has released the pass data for candidates who sat the February financial advice exam. ...
Policy & Regulation
ASIC is to receive an extra $4.3 million from the government to crack down on businesses making misleading sustainability claims as part of plans for an Australian Sustai...
People & Products
Former ASIC commissioner, Cathie Armour, has taken up a board role at Cboe, her first since departing the regulator last year, as director David Trude departs after 11 ye...
Financial planning
A former director from New South Wales has been charged with dishonest conduct in relation to a financial product or service after obtaining $459k from clients for his ow...
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Podcast
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 ...