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

GG

So shareholders lose a dividend plus have seen the erosion of value. Qantas decides to clawback remuneration from Alan ...

2 months 3 weeks ago
Denise Baker

This is why I left my last position. There was no interest in giving the client quality time, it was all about bumping ...

2 months 3 weeks ago
gonski

So the Hayne Royal Commission has left us with this. What a sad day for the financial planning industry. Clearly most ...

2 months 3 weeks ago

Insignia Financial has made four appointments, including three who have joined from TAL, to lead strategy and innovation in its retirement solutions for the MLC brand....

1 week 6 days ago

The Reserve Bank of Australia's latest interest rate announcement has left punters disheartened on Melbourne Cup Day....

1 week 5 days ago

The Federal Court has given a verdict on ASIC’s case against Dixon Advisory director Paul Ryan which had alleged he breached his director duties....

1 week 4 days ago