investments commission

Financial planning

The Australian Securities and Investments Commission (ASIC) is pursuing court action against an individual it deems a serial securities offender, after alleging the man i...

Financial planning

High profile industry academic denounces watchdog

The Australian Securities and Investments Commission (ASIC) has been lambasted by a high profile banking and finance professor with claims it often deliberately fails to ...

Financial planning

ASIC bans Hartleys adviser over Ali case

The former Hartleys adviser, Christopher Roderic Martin, at the centre of last year’s infamous Ali case has finally been banned by the Australian Securities and Investmen...

Financial planning

Ipac makes Qld push

Ipac Securities is expanding its business reach to cover the Brisbane financial planning market, after announcing plans to open an office there this month....

Financial planning

Consumers still wary of advisers

Independent ratings company Adviser Ratings has found that almost a third of financial planners have noticed a change in business volume since the release of the Australi...

Financial planning

Palandri gives nod to advisers

Palandri Investment Management is continuing to use financial planners for the distribution of its managed investment schemes, despite the recent bad publicity surroundin...

Financial planning

Zurich’s UK arm scuttles FPA professional indemnity deal

Negotiations between the Financial Planning Association (FPA) and Zurich London over setting up the association’s own in-house professional indemnity (PI) insurance schem...

Financial planning

ASIC to examine long range forecasts

The Australian Securities and Investments Commission (ASIC) will crack down on the misuse of long range financial forecasts in prospectuses and product disclosure stateme...

Financial planning

Emphasis on agribusiness at van Eyk

Van Eyk Research has added another consultant to its agribusiness division, van Eyk Capital, with Dr Peter Dry now assisting analysis in the firm’s annual agribusiness re...

Financial planning

First Foundation frozen following ASIC investigation

First Foundation Developments and its senior employees will have $1.8 million assets frozen for running an alleged unregistered managed investment scheme....

Financial planning

ASIC probe leads to imprisonment

A former company executive has been sentenced to a 12 month jail term, after pleading guilty to six charges laid by the Australian Securities and Investments Commission (...

Financial planning

FPA offers olive branch

The Financial Planning Association (FPA) board of directors will meet on Monday with four ‘leading’ consumer advocates to aid it in taking account of consumer concerns an...

Financial planning

Sealcorp to put Asgard under the microscope

The Securitor/PACT financial planning dealer groups will implement a price and functionality review of the Asgard master trust in an attempt to increase its market compet...

Financial planning

Agribusiness image to get a make over

The Australian Securities and Investments Commission (ASIC) and van Eyk Research will meet with financial planners in Sydney later this month to combat perceived bad perc...

Financial planning

Planners suffer from public confidence crisis

Independent ratings company Adviser Ratings has found that almost a third of financial planners have noticed a change in business volume since the release of the Australi...