Policy & Regulation

Australian financial services licensees that offer over-the-counter derivatives to retail investors overseas might be breaking overseas laws.

The Australian Securities and Investments Commission is causing headaches for Australian Financial Services licensees by approving responsible managers despite there...

The Tax Practitioners Board has terminated the tax agent registrations of Wollongong tax agent for overclaiming expenses on behalf of...

Consumers can expect improved justice and recourse should they be victims of wrongdoing by the financial services industry as the...

Industry funds body, the Australian Institute of Superannuation Trustees has urged that insurance claims handling be subject to the financial...

The Australian Banking Association has defended vertical integration and the ability of the major banks to self-regulate when it comes...

Financial advisers were notable by their absence from the Australian Securities and Investments Commission’s latest Enforcement Update.

Insurance claims handling should not be encumbered by the same obligations as financial advice because it would risk making it...

The UK Financial Conduct Authority and Australian Securities and Investments Commission have agreed to strengthen cooperation post-Brexit.

The financial planning industry may have avoided the fee for no service debacle if advisers had followed the spirit of...