Policy & Regulation

The Australian Securities and Investments Commission is looking at whether clients are being accurately designated as wholesale or retail investors.

To be effective, the Financial Regulator Oversight Authority needs to be allowed to assess particular actions, or group of actions,...

The Australian Securities and Investment Commission has released its new regulatory framework for foreign financial services providers who are providing...

Licensees work hard for the stamping fees they are paid and should be entitled to keep them, according to Investment...

Tough times and lower interest rates have prompted the Government to put last year’s deeming rate changes under the microscope.

A coalition of consumer groups has pointed to key changes to advice and life insurance resulting from the Royal Commission...

The audit industry has been delivered a reasonably favourable assessment by a key Parliamentary Committee because the Australian Securities and...

Over-the-counter derivative issuers AGM Markets, OT Markets and Ozifin Tech have been found by the Federal Court to have engaged...

Superannuation fund trustees will not be able to resort to members’ funds held in trust to pay civil penalties arising...

External law firms have been brought in as the Australian Securities and Investments Commission looks to wrap up referrals from...