ASIC ENFORCEMENT
Financial planning
ASIC has taken action against a South Australian financial advice provider who secured $1.4 million for purported investment in gold salvage from Solomon Islands shipwrec...
Financial planning
ASIC has launched legal action in the Federal Court against SQM Research and Interprac Financial Planning, citing alleged failures related to the Shield and First Guardia...
Financial planning
ASIC has cancelled the AFSL of a Melbourne-based managed investment scheme operator over a failure to pay industry levies and meet its statutory audit and financial repor...
Financial planning
ASIC has released its annual report for the 2023–24 financial year, recording a 43 per cent year-on-year rise in alleged misconduct reports. ...
Financial planning
The corporate watchdog has confirmed it will use 80% of its funding towards enforcement, supervision, and surveillance activities for financial year 2021-22....
Policy & Regulation
The Australian Securities and Investments Commission has revealed a 50 per cent increase in enforcement investigations of misconduct on the part of the major financial in...
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Podcast
The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...