AMP Horizons has made changes to its advice processes after they were found wanting by the Australian Securities and Investments Commission (ASIC)....

Plan B's Andrew Black could be forgiven for thinking he is being followed by IOOF in the wake of its acquisition of the dealer group....

ASIC announces targeted surveillance of research providers under new policy approach....

Some insurance and credit comparison websites are not properly licensed to provide financial services, according to ASIC....

A former licensed finance broker from Western Australia has been permanently banned from providing financial services and engaging in credit activities....

ASIC has upgraded its guidance on financial services advertising and warned of potentially stronger penalties for breaches....

With ASIC's Peter Kell pointing to a level of life insurance policy churning to warrant regulatory concern, it is time for a clear definition of 'churn'....

Rapid growth of some financial services licensees has caused regulator concern due to many of them lacking support systems for larger numbers of advisers....

There is no reason why the Australian Securities and Investments Commission (ASIC) should not approve a code of conduct for a single licensee or dealer group, says Minter...

ASIC Commissioner Peter Kell told Money Management there was enough life policy churning in the financial advice industry for the regulator to be concerned about the issu...

ASIC is planning to release further information which would complement consultation papers regarding issues such as recommending products outside of an APL, fee disclosur...

ASIC Commissioner Peter Kell has told Money Management that while introducing licensee-specific codes of conduct is an option, it could be a costly and complicated proces...

AFA signals it will be working to align its Principles of Practice with the outline contained in ASIC consultation paper....

ASIC report reinforces importance of EDR process despite debt recovery processes against clients....