the Australian Securities and Investments Commission

THE AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

Financial planning

The AAT has affirmed ASIC’s to ban Mark Menzies from providing financial services, after he had engaged in manipulation of the price of MINI Warrants commonly known as “M...

Policy & Regulation

Planning firms should brace for legacy complaints

Financial planning firms should brace for an influx of legacy complaints in the wake of the Australian Securities and Investments Commission clearing the final regulatory...

Life/Risk

Industry bodies unite to protect life insurance commissions

The financial planning industry’s two major member associations have confirmed that they will be taking a joint approach to the regulator’s life insurance review, with re...

Policy & Regulation

Frydenberg urges tougher ASIC approach

The Federal Treasurer has reinforced that he wants the Australian Securities and Investments Commission to take a tougher approach in pursuing litigation rather than nego...

Financial planning

CFPL gets qualified mark on EU undertakings

Commonwealth Financial Planning has sought an extension of time from the independent expert appointed to oversee the outcome of its enforceable undertaking (EU) over fees...