BANNINGS

Financial planning

With the 2023–24 financial year behind us, Money Management takes a look back on the financial advice licensees that were hit with enforcement action by ASIC in the past ...

Financial planning

The Australian Securities and Investments Commission has told a Parliamentary Committee it is funded and willing to pursue bannings in the financial adviser space....

image
Financial planning

The Australian Securities and Investments Commission has pointed to an upward trend as 103 advisers were banned over the past three years....

image
sub-bgsidebar subscription

Never miss the latest news and developments in wealth management industry

MARKET INSIGHTS

So we are now underwriting criminal scams?...

2 months 3 weeks ago

Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...

2 months 3 weeks ago

Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...

4 months 4 weeks ago

ASIC has suspended the Australian Financial Services Licence of a Melbourne-based financial advice firm....

1 week 5 days ago

The corporate regulator has issued infringement notices to three AFSLs whose financial advisers provided personal advice to a retail client while unregistered....

2 weeks 3 days ago

ASIC has released the results of its first adviser exam to be held in 2025, with 241 candidates attempting the test....

3 weeks 1 day ago