Faced with at least six weeks of Level 4 lockdown, financial advisers in Melbourne need regulatory relief around opt-in and other key client interactions....

The chair of a key Parliamentary Committee has raised the Australian Securities and Investments Commission’s errors within its controversial SMSF factsheet among errors t...

Consumer groups’ views proved far more effective in convincing the Australian Securities and Investments Commission to tighten internal dispute resolution timeframes to 3...

The Australian Securities and Investments Commission has released final updated guidance on how financial firms should deal with consumer and small business complaints. ...

The law, as it stands, around financial services licensing and managed investment schemes was not designed or intended to handle class action litigation funding, accordin...

David Horton was found to have given clients’ inappropriate advice to double gear their investments and did not consider their cashflow position or ability to cover margi...

The Australian Securities and Investments Commission has taken action to wind up illegal investment scheme MyWealth Manager....

The Federal Government should deliver superannuation funds a reduction in regulatory levies equal to the amount of money withdrawn from superannuation under the hardship ...

Zoe Higgins examines the changes surrounding best interests duty and how it will affect mortgage brokers who will have to ensure they are lending responsibly....

New regulations, which bizarrely define class actions as ‘managed investment schemes,’ could stymie the compensation payouts of millions of Australians who have been robb...

Risk advisers need some relief from the harshness of clawback arrangements as life/risk clients move to cut their costs, according to the Association of Financial Adviser...

The Australian Securities and Investments Commission (ASIC) has suspended the Australian Financial Services licence of Sydney-based retail over-the-counter derivatives is...

The Federal Government should use the creation of a single disciplinary body to create a single regulator and thereby reduce complexity and costs....

The Australian Securities and Investments Commission has started civil penalty proceedings against the firm as its sole director, Shlomo Yoshai. ...