Policy & Regulation

The corporate regulator has added 12 examples in response to feedback received from its consultation on the prohibition of hawking...

The corporate regulator has permanently banned Ross Andrew Hopkins from providing financial services after it found he had made 167...

The Government’s proposed compensation scheme of last resort will likely have a future cost of advice failures that is $8...

Former Halifax Investment Services lead auditor, Robert James Evett, has been found to not be a fit and proper person...

The corporate regulator’s new chair, Joe Longo, believes that reading the publicly available report of the regulator’s governance practices is...

None of the outcomes resulted in criminal proceedings, and there is a similar percentage of ongoing cases by the corporate...

To reduce the reporting burden, the corporate regulator is allowing licensees to batch upload reports that derive from a single...

If the corporate regulator had funds awarded by penalties put into the financial advice levy it could look like a...

The regulator has outlined the purpose, design and scope of its climate vulnerability assessment to help regulated entities, including the...

Product issuers and distributors need to be careful with what incentives apply to distributors who sell products to those target...