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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Funds management
The financial services regulator has obtained undertakings in the Federal Court of Australia stopping the activities of the operators of an unregistered investment scheme...
Financial planning
The stringent rules governing superannuation switching advice has meant some financial planners are eliminating this type of service for their client base....
Financial planning
The costs of breach reporting to the Australian Prudential Regulation Authority and the Australian Securities and Investments Commission exceed the benefits that accrue t...
Financial planning
The cost of retail funds are on average up to $887 more expensive than industry funds, according to a new research report on super fees and charges from ASIC....
Financial planning
The promoter of a scheme offering the early release of superannuation benefits has pleaded guilty to dishonestly inducing persons to deal in financial products in the Sou...
Financial planning
A former Adelaide options adviser and stockbroker has been sentenced to two and a half years in prison....
Financial planning
A South Australian financial planning firm, its directors and a trainee adviser have had their licenses cancelled by the Australian Securities and Investments Commission....
Financial planning
AMP Financial Planning appears to have paid a price for the enforceable undertaking it entered into with ASIC in July, with a reduction in net cashflows over the period....
Financial planning
A former National Australia Bank financial planner has been jailed for eight years after pleading guilty in the NSW District Court to eight counts involving nearly $6 mil...
Editorial
Less than half a year into her term as the chief executive of the Financial Planning Association, Jo-Anne Bloch has already proved she is prepared to listen to members an...
Financial planning
The corporate regulator has commenced proceedings in the Federal Court of Australia against a mortgage broker for his conduct in applying for two lo-doc loans for one of ...
Financial planning
The FPA has advised that its investigation into the activities of Tasmanian-based adviser Brendan Moore has been wrapped up, with its disciplinary committee imposing only...
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Podcast
So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...