LICENCE

Financial planning

ASIC has cancelled the Australian financial services licence of Sydney-based Brava Capital, which was charged last October for allegedly failing to lodge financial accoun...

Financial planning

Almost one-in-two licensees are handing it back within five years and active advice is likely the only viable business model, according to Encore Advisory Group....

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Policy & Regulation

The Australian Securities and Investments Commission has cancelled the Australian financial services licence and credit licence of Financial Circle....

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Financial planning

ASIC has published a report with its approach and assessment of licence applications and professional registrations for the period July, 2016 to June, 2017....

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Financial planning

ASIC and Morgans Financial Limited have agreed for an independent compliance consultant to monitor and review Morgan’s implementation of recommended compliance measures....

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Funds management

The Australian Securities and Investments Commission has cancelled the Australian financial services license of wholesale service provider, TMK Index Limited....

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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 4 weeks ago

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

5 months ago

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

1 week 6 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 4 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 2 days ago