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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Life/Risk
A former Victorian insurance agent and broker has pleaded guilty to two counts of dishonesty following an investigation by the Australian Securities and Investments Commi...
Funds management
A Sunshine Coast property promoter has been charged with six counts of dishonestly inducing people to purchase financial products by deliberately concealing significant f...
Financial planning
A Gold Coast superannuation adviser has been jailed for two years for his role in a superannuation rollover benefits scheme....
Financial planning
A NSW financial planner has been committed to stand trial on 10 counts of fraud....
Financial planning
The eight-year jail sentence handed down to a Cairns adviser on the weekend sends a strong message to the financial services community, according to the Australian Securi...
Financial planning
The Australian Defence Force has launched a financial education initiative for all three services....
Financial planning
The two former directors of an unlicensed financial services business will face 30 charges between them in the Melbourne Magistrates Court in November, following an Austr...
Financial planning
The Australian Securities and Investments Commission has succeeded in having interim injunctions granted against two unlicensed Queensland investment schemes....
Financial planning
The Australian Securities and Investments Commission has welcomed early reporting of misconduct by financial services licensees and banned a former Genesys financial advi...
Financial planning
Many financial planners are declining to make superannuation switching recommendations due to a dearth of available research into individual funds, particularly industry ...
Financial planning
The Australian Securities and Investments Commission has permanently banned a Tasmanian manager from providing financial services for fraudulent and dishonest behaviour....
Life/Risk
The Australian Securities and Investments Commission permanently banned a NSW insurance representative from providing financial services last week, after she misappropria...
Financial planning
The recent enforceable undertaking imposed on AMP Financial Planning by the Australian Securities and Investments Commission has potentially made compliance with financia...
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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...