SURVEILLANCE

Funds management

ASIC has pinpointed five managed funds that need to improve their marketing oversight....

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Policy & Regulation

The Australian Securities and Investments Commission has rated the credit ratings houses via a surveillance and found them wanting in some key areas....

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Financial planning

ASIC has released its Cost Recovery Implementation Statement outlining its estimated regulatory costs in 2017/18 as part of the industry funding model. ...

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Financial planning

ASIC has accepted an EU offered by Financial Index Australia after surveillance found various concerns in policies and procedures in its financial advice business....

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Financial planning

Brisbane financial planning firm, Carwardine Financial Services, has agreed to undergo an independent external review of its compliance following ASIC surveillance....

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Financial planning

ASIC has concluded monitoring dealer group, Lionsgate Financial Group after it imposed additional conditions on the firm’s AFSL in 2013 for failure to ensure its advisers...

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Funds management

ASIC vows to continue scrutiny of margin lending after finding issues around double-geared margin loans....

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Financial planning

More than half of Australian employers monitor their staff members’ internet use, with a further 27 per cent blocking access to online shopping sites, a survey reveals....

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Financial planning

ASIC has imposed licensing conditions on a Queensland-based financial services firm after identifying concerns over its ability to effectively carry out their supervisory...

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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 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