ASIC accepts enforceable undertaking from online foreign exchange broker for violating managed discretionary account (MDA) rules....

Payday lender Cash Stop Financial Services (Cash Stop) will refund a total of $14,000 to more than 650 consumers following an investigation by the Australian Securities a...

The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking (EU) from former director of AIE Fiduciary Services (AIE) Manish Babul...

Two Sydney-based accounting auditors have entered an enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC) following a lengthy rev...

Despite all the negative publicity, Commonwealth Financial Planning has exited its 2011 EU with ASIC....

ASIC releases enforcement report for second half of 2013 reporting 340 enforcement actions....

BNP Paribas will make a voluntary contribution of $1 million to financial literacy projects after its EU was accepted by the regulator....

ASIC has used its fourth major submission to the Senate Inquiry to point to a brand new culture at Commonwealth Financial Planning....

UBS and NAB have pledged $1 million and $2 million respectively to financial literacy projects in Australia, after a run-in with the regulator....

Former AFS adviser Gabriel Nakhl has been permanently banned from providing financial advice after entering into an enforceable undertaking....

Regulator says thirteenth EU will conclude planned Trio action....

ASIC has banned a Queensland-based businessman for five years following his involvement in the deceptive marketing and selling of share trading software....

Former Trio director Kurt Groenveld enters three-and-a-half year enforceable undertaking with APRA. ...

South Australian finance broker and a Victorian auditor removed from industry after compliance failures....