3 December 2009 | The Parliamentary Joint Committee (PJC) Inquiry into Financial Services and Products has recognised the need to lift the training and entry requirements for the financial planning industry, and some education providers have reacted positively.
23 October 2009 | Proposals to increase online disclosure risks details being obscured by complexity of websites.
21 October 2009 | Charges filed by ASIC against Astarra fund managers, nature of ASIC complaint unclear.
27 August 2009 | Financial services providers should not be allowed to appeal against the removal of their licence in cases of bad advice.
24 August 2009 | Treasury announces ASIC to be responsible for supervision and enforcement of the laws against misconduct on Australia's financial markets.
21 August 2009 | Melbourne man jailed over SMSF theft while his wife is fined for aiding and abetting.
7 August 2009 | Unlicensed managed investment scheme raised approximately $7.9 million from investors.
5 August 2009 | Court approval will force ANZ and Merrill Lynch to pay $226 million, ASIC releases banks from potential legal claims.
13 July 2009 | Deceptive conduct cost clients more than $9 million.
9 July 2009 | Sole director of Axis International Management and representative of Sagecorp Securities.
7 July 2009 | Fourteen open enquiries about insider trading; 12 referred to ASIC.
22 June 2009 | Convicted on eight fraud-related charges totalling more than $14,000.
1 May 2009 | Scheme would open opportunities for Australian managed investment schemes to be offered overseas.
29 April 2009 | The Australian Securities and Investments Commission will create 200 full-time positions to fulfil its obligations in administering the new National Consumer Credit Regime.
30 March 2009 | Regulator concerned that Westpac advertising for Choice account was misleading to existing customers.
23 March 2009 | Regulator cracking down on false rumours that take advantage of market turmoil to affect market share prices.
10 March 2009 | The fallout from the financial crisis could lead to class actions against listed companies for failing to disclose price-sensitive information.
16 May 2007 | A Brisbane property promoter has been handed a two and a half year jail sentence after pleading guilty to six charges of dishonest business dealings.
17 April 2007 | The Federal Government plans to introduce a court-based process for disqualifying individuals under legislation administered by the Australian Prudential Regulation Authority.
12 April 2007 | Western Australian financial adviser, Annemieke de Boer, will face Perth Magistrates Court tomorrow on charges of stealing close to $50,000 of a client’s money.
11 April 2007 | A former financial planner has faced the Brisbane Magistrates Court on seven fraud charges relating to activities that left his clients more than $126,000 out of pocket.
15 September 2000 | A Melbourne based accountant has pleaded guilty to ordering the redeeming of su-perannuation money on behalf of clients who had not qualified for retirement.
22 June 2000 | The Australian Securities and Investment Commission (ASIC) is to investigate the conduct and disclosure behaviour of life agents as phase two of its review of the disability insurance market.
31 May 2000 | The new economy has brought with it new criteria for investor protection, a senior ASIC commissioner has told members of the FPA Melbourne chapter.
3 April 2000 | A former AMP financial adviser has been banned for life from acting as an invest-ment adviser.