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ASIC
Financial planning
Shadow shoppers seeking financial planning advice for ASIC’s current shadow shopping campaign are no longer at large....
Financial planning
A former director of unlicensed Sydney financial services business, Pegasus Leveraged Options Group, has been jailed for eight years for the theft of $2.1 million from cl...
Funds management
The Australian Securities and Investments Commission (ASIC) has laid 21 charges against Melbourne-based property developer Mark Stanley....
Financial planning
The Federal Opposition has criticised the corporate regulator for not going far enough in what is already being perceived by the industry as too harsh an assessment of fi...
Financial planning
A Queensland man, who allegedly operated a high-yield investment scheme and used it to dishonestly obtain $270,000, has appeared in court on seven charges brought by ASIC...
Financial planning
ASIC has expanded its compliance team, with Carole Ferguson joining in the new position of director, institutional and wholesale compliance....
Superannuation
Last June the corporate watchdog went on the attack in the Apple Isle. As most people have probably heard by now, their victim, Hobart based adviser and authorised repres...
Superannuation
Accountants could face fines of up to $220,000 if they provide misleading advice on self-managed super funds....
Accounting
An Adelaide accountant who set up and promoted managed investment schemes without a financial services license has been banned from providing financial services for three...
Financial planning
A wealth creation scheme that claims to be able to generate returns of at least 2 per cent every trading day is being investigated by the Australian Securities and Invest...
Financial planning
Hundreds of financial planning practices could incur huge fines or lose the right to operate their businesses if they fail to produce overdue 2004 annual accounts and aud...
Financial planning
A former director of Sydney-based Pegasus Leveraged Options Group, Craig John McKim, is back in Court after being committed to stand trial on 40 charges under the Crimes ...
Financial planning
A Sydney-based finance broker has felt the wrath of the corporate watchdog for a second time after being convicted in the Central Local Court of managing a company while ...
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Podcast
So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...