australian securities and investments commission

AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

Financial planning

Watchdog gives Melbourne broker six of the best

Former Melbourne-based broker Allan Edward Gooderham has been banned from acting as a securities dealer representative or investment adviser for six years and has agreed ...

Financial planning

Two years jail for director

John Robert Houghton, a former director of Houghton & Associates, last week received a two year jail sentence after pleading guilty to 26 charges of fraudently missapropr...

Financial planning

ASIC warns: get registered

At least 300 insurance brokers are trading illegally, according to the Australian Securities and Investments Commission (ASIC)....

Superannuation

The ins and outs of DIY super funds.

Rules regarding membership, compliance and administration of self-managed superannuation funds (SMFs) are well on the way to being clarified....

Financial planning

ASIC fastens Net regulations

Regulatory body the Australian Securities and Investments Commission (ASIC) has laid down guidelines covering which Internet-based security offerings do not fall under it...