The corporate watchdog’s guidance on the scope of civil penalty provisions and what may amount to trivial breaches does not provide sufficient objectivity to assist licen...

The corporate regulator has removed a barrier to entry for offshore market-making entities wanting to participate in the Australian exchange traded fund market....

A second stage as part of the super test benchmark is needed to avoid relying on automation which could create issues similar to that of the Robodebt saga, according to t...

The corporate regulator says implementation of the compensation scheme of last resort has been delayed due to budgetary reasons....

The corporate watchdog is looking at its enforcement settings as priorities have changed but being an active litigant when needed is still on the table. ...

The decrease in adviser roles number this week was almost twice as many as the loss of actual advisers at 100 and 53, respectively, due to double authorisations, accordin...

Permanently banned former financial adviser, Robert Hutchison, failed to appear at an Administrative Appeals Tribunal directions hearing....

While a fixed-term fee agreement is a valid alternative for advisers finding difficulty in the ongoing fee arrangement requirements, they need to ensure their fee chargin...

The corporate regulator has clarified in its guidance that it does not have any powers to give exemptions or modifications and has clarified fixed-term definitions....

Career break is unlikely to be a reason to give relief on professional standards, according to guidance from the corporate regulator, and an industry association has call...

Foreign financial services providers will continue to have relief from holding an Australian financial service licence as the deadline has been extended to 31 March, 2023...

Oksana Patron writes that revised adviser number forecasts are shining a new light on the adviser exodus and how it will affect different adviser roles....

To avoid any uncertainty over the Financial Adviser Standards and Ethics Authority exam scheduling next year, advisers should only take the ‘career break’ option as a las...

The Australian Securities and Investments Commission has told Parliament it would “likely be difficult” for it to move to a faults-based framework as proposed in the late...