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ASIC
Policy & Regulation
Some 18 funds with $1.4 billion in assets under management have voluntarily amended their marketing materials after a surveillance operation by the regulator....
Policy & Regulation
The Australian Securities & Investments Commission (ASIC) has extended its ban on brokers offering binary options to retail traders until October 2031....
Life/Risk
The Australian Securities and Investments Commission (ASIC) has raised more concerns over life insurance claims handling by some insurers....
Financial planning
Some 52% of financial advisers have passed the latest financial adviser exam, figures from the Australian Securities and Investments Commission show....
Policy & Regulation
The Australian Securities and Investments Commission (ASIC) has warned brokers to be careful about or reconsider offering high-risk products and services to retail invest...
Superannuation
The Australian Securities and Investments Commission is calling on superannuation trustees to improve the effectiveness of target market determinations after a sample rev...
Life/Risk
The Australian Securities and Investments Commission has secured $102 million for customers who could have been mis-sold policies by Freedom Insurance....
Policy & Regulation
The Australian Securities and Investments Commission has banned a Perth-based financial services director for six years after the regulator found she demonstrated a lack ...
Funds management
The Australian Securities and Investments Commission has released investment behaviour research showing what it views as a concerning rise in unregulated, volatile crypto...
Funds management
The corporate regulator’s call for former Dixon Advisory clients to register any complaints with AFCA demonstrates the need for establishing a broad-based Compensation Sc...
Policy & Regulation
The Australian Securities and Investments Commission says it will focus on improving the operation of the breach reporting regime as part of its 2022-23 priorities....
Policy & Regulation
A former New South Wales financial adviser has been permanently banned by the regulator for engaging in dishonest conduct....
Financial planning
Former clients of Dixon Advisory and Superannuation Services have been urged to make a complaint as soon as possible as they may be eligible for compensation under a pote...
Financial planning
The Australian Securities and Investments Commission has banned an Adelaide-based financial adviser from providing financial services for five years after problems with t...
Financial planning
A financial adviser jailed for importing and smuggling cocaine has had the Australian financial services licence of his Alice Springs-based firm suspended....
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MARKET INSIGHTS
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 ...