The cancellation of two AFSLs has caused adviser numbers to drop into the red this week after three weeks of growth, but one AFSL has seen a gain of 20....

ASIC has confirmed it was “unnecessary” for the regulator to intensively interview Dixon Advisory advisers about the problems at the firm....

AFCA is considering whether complaints against advice licensee United Global Capital, which saw its AFSL cancelled this week, will be covered by the CSLR and how many com...

Compliance firm Cowell Clarke has shared information on how licensees should investigate a possible reportable situation at their firm and when to tell the regulator....

Two advice professionals have discussed why three-quarters of advisers looking to leave the industry in the next 12 months are under 40, and what can be done....

The 2023–24 financial year saw over 105,000 financial complaints filed to AFCA, with its chief ombudsman expressing disappointment in the 9 per cent year-on-year rise....

ASIC has banned a financial services director for 10 years and cancelled the AFSL of his company for his “cavalier attitude” to financial services laws, including inappro...

After a successful inaugural event last year, the Women in Finance Summit is returning in 2024 with more business insights and networking opportunities....

Shadow minister for financial services, Luke Howarth, has reassured the industry that the Coalition “won’t go back to the drawing board” when it comes to implementing the...

An appeal by convicted fraudster Dr Roger Munro has been dismissed by the Queensland Court of Appeal....

The Sydney-based financial advice practice has appointed two new partners to meet rising client demand, particularly driven by the influx of intergenerational wealth tran...