The regulator has cracked down on a Mount Waverly adviser found to have falsely witnessed loan documents for agribusiness investments....

A submission by Professional Investment Services to a parliamentary inquiry has pointed to the use of investment platforms as one way of mitigating potential conflicts of...

The removal of payments such as volume rebates will see many of Australia's largest dealer groups collapse, unless they restructure to offer their own products or run int...

The owner of one of Australia's largest dealer groups has recommended all AFSLs be required to periodically report to the regulator on a range of issues relating to their...

The Commonwealth Bank of Australia has named the corporate regulator, along with itself and Storm Financial, as one of the key stakeholders involved in the circumstances ...

Macquarie's offshore expansion plans may be bolstered by the possible acquisition of a US asset management company with more than $120 billion in assets....

The dealer group has launched a new 'self-employed' model in which planners have management rights over their businesses, but not overall ownership of clients, a model Ti...

The chairman of the Australian Securities and Investments Commission has hinted that the basis for the Corporations Act and ASIC's role may be re-examined....

A Sydney financial planner who has worked with former clients of Storm Financial in recent months has pointed to an aggressive sales culture within the failed group, incl...

While a fee-for-service model removes real or perceived conflicts of interest that plague the financial planning industry, it can also hinder firms in attracting new clie...