ASIC has highlighted examples of problematic marketing in managed funds and expects to make a series of regulatory outcomes in the next few months....

There is only one sitting left for advisers yet to pass the exam as the Australian Securities and Investments Commission reveals the pass mark for May’s exam....

Former Queensland financial adviser, Lawrence Toledo, has been convicted and fined $1,500 after pleading guilty to three charges of breaching an Australian Securities and...

A former subsidiary of Commonwealth Bank has been penalised $1.7 million for failing to update defective disclosure statements, the first conviction of its kind....

There are nine questions that fund managers need to ask themselves when launching a fund in order to prevent greenwashing, according to ASIC....

Spaceship Capital chairman Paul Dortkamp has been banned by ASIC for a “fundamental oversight” related to his responsibilities, less than six months after its former CEO ...

The corporate regulator has made its first conviction of an individual for using social media to co-ordinate a ‘pump and dump’ scheme of listed stocks. ...

The Australian Securities and Investments Commission has released its latest cost recovery implementation statement for 2021/22, providing an estimated levy for financial...

Mark Thomas, former chief executive of van Eyk Research, has pleaded guilty to charges of dishonestly using his position to gain advantage for himself....

ASIC has commenced civil penalty proceedings against big four bank ANZ for allegedly misleading customers about the available funds and balances in their credit card acco...

ASIC has cancelled the registration of 10 auditors of self-managed superannuation funds who failed to lodge their annual statements....

The financial advice profession has seen the second week of triple-digit adviser losses, with the industry shrinking by 129 to 16,783 advisers, according to Wealth Data....

ASIC has cancelled the Australian financial services licence of Perth-based Quattro Capital, the licensee of authorised representatives who were part of Mayfair 101....

Former ASIC chair, James Shipton, has joined share trading and superannuation platform Superhero as a non-executive director....