POLICY & REGULATION

INDUSTRY NEWS

Aware Financial Services Australia Limited has been ordered by the Federal Court to pay a $20 million penalty for charging over 25,000 customers fees for financial servic...

INDUSTRY NEWS

AUSTRAC has ordered the appointment of an external auditor to three entities within the Bell Financial Group to investigate whether it has met requirements under two anti...

INDUSTRY NEWS

The corporate regulator will be working with regulatory technology entities for its Business Research and Innovation Initiative, dealing with the challenges of corporate ...

INDUSTRY NEWS

The Australian Securities and Investments Commission (ASIC) is consulting with interested parties on updating guidance for the naming conventions of exchange traded produ...

INDUSTRY NEWS

Greater oversight from the corporate regulator of financial and compensation arrangements will reduce unpaid determination risk and ensure the CSLR operates as a genuine ...

INDUSTRY NEWS

Misconduct under the proposed Financial Accountability Regime could result in liability under it and existing regimes, particularly with design and distribution, breach r...

INDUSTRY NEWS

T. Rowe Price have launched an actively-managed global equity trust and separately managed account to provide advisers with a sector-diversified portfolio of 30 to 45 hig...

INDUSTRY NEWS

The corporate regulator has obtained interim orders from the Federal Court to freeze the assets of Ascent Investment and Coaching, as funds may have been raised and used ...

INDUSTRY NEWS

The corporate regulator has signed a new memorandum of understanding with the Croatian Financial Services Supervisory Agency regarding alternative investment funds....

INDUSTRY NEWS

The Federal Government will commence consultation to reform rules around cryptocurrency, buy now/pay later, and broader digital assets, and will look to launch a Central ...

INDUSTRY NEWS

The corporate regulator’s financial advice hub aims to be a single repository to help industry participants more easily find information....

INDUSTRY NEWS

The corporate regulator has found firms in financial markets have continued to show resiliency to cyber threats during the pandemic but a reallocation of resources has le...

 
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MARKET INSIGHTS

PETER JOHNSTON- AIOFP

Well done Keith and Neil, these Canberra Bureaucrats need to be stopped. ...

2 days 17 hours ago
JOHN GILLIES

WHEN I RETIRED A LOT OF GUY'S WERE STILL PRACTICING FORMS OF COLD CALLING. There nothing wrong with it as a way of estab...

3 days 17 hours ago
JOHN GILLIES

I thought you joined a dealer to be protected and have a better version of regulation explained, BUT The dealers themsel...

3 days 17 hours ago

ASIC has cancelled the AFS licence of a Sydney wealth firm, the fifth Sydney firm to see a cancellation since the start of the year....

1 week 3 days ago

A former financial adviser has been banned by ASIC from providing financial services for inappropriate advice, among multiple breaches....

3 weeks 4 days ago

ASIC has suspended the AFS licence of a Melbourne fund manager responsible for six managed investment schemes....

2 weeks 4 days ago