With ASIC proactively reviewing its financial advisers register, further bans on individuals and rising conflicts of interest among small licensees could be likely, accor...

ASIC has permanently banned a Sydney-based adviser for changing the result of his financial adviser exam and sending the altered certificate to his licensee....

ASIC has banned a Queensland adviser for three years for adopting a ‘layered advice’ strategy with clients....

Australians impacted by misconduct in the financial advice space have received just under $5 billion in compensation from six of the largest banking and financials servic...

The Senate has ordered Treasury to disclose a confidential report detailing findings from a probe into alleged misconduct by ASIC's deputy chair. ...

Two former senior executives of Benjamin Hornigold Limited have been charged with dishonest breach of duties and misleading the ASX....

Melbourne-based Lino Salzano earned the title of adviser at just 21 years old, and has described the process of how he got there....

The corporate watchdog has commenced consultation on proposals to revise ‘sunsetting’ class orders relating to the managed funds industry....

The adviser market seemed to be stabilising for the first time in many years, with no new licensees commencing or closing in the week to 2 March. ...

A Senate committee has called into question ASIC deputy chair Karen Chester's capacity to serve amid “mixed” evidence presented to a Senate committee regarding alleged m...

Financial services firms were among seven entities reviewed by the regulator as part of its work to develop corporate guidance for whistleblower protection....

ASIC staff need to consider if they are taking on enough risk in choosing cases to litigate, according to chair Joe Longo, prompting a Senate committee to ask if it shoul...

A former director and CEO has pled guilty to two counts of engaging in dishonest conduct, with two further offences under consideration, for cheating investors of nearly ...

ASIC Commissioner Danielle Press confirmed the regulator has been in touch with Treasury on how differing ‘reasonable minds’ could agree on a common ground in Levy’s reco...