COMMONWEALTH DIRECTOR OF PUBLIC PROSECUTIONS

Policy & Regulation

External law firms have been brought in as the Australian Securities and Investments Commission looks to wrap up referrals from the Royal Commission....

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Financial planning

Anthony Dick has been charged after using clients’ savings to fund his own personal lifestyle expenses....

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Financial planning

Max Kiattisak Eung has been sentenced to jail after pleading guilty to obtaining financial advantage by deception of $166,500....

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Life/Risk

CommInsure has been charged by the Australian Securities and Investments Commission for offering to sell life insurance products via non-compliant unsolicited phone calls...

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Policy & Regulation

Financial advisers were notable by their absence from the Australian Securities and Investments Commission’s latest Enforcement Update....

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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 3 weeks ago

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

1 week 3 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 2 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 ago