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

Financial adviser Timothy Shapter has been banned for seven years for failing best interests duty and his licensee Smart Solutions has had its licence cancelled....

Additional licence conditions have been placed on BGC Securities Australia in relation to its fixed income business....

Legislation surrounding the regulation of claims handling may have insurers and related parties look to fall under a single Australian Financial Services License to ease ...

The Australian Securities and Investments commission has cancelled the Australian financial service licence of KP International Group Australia due to resignation of all ...

The Australian Securities and Investments Commission has taken further steps to wind up Chris Marco’s alleged unregistered managed investment scheme....

The Australian Securities and Investments Commission has granted planning licensees a three-year exemption from the requirements to have planners sign up to a code-monito...

ASIC has imposed additional conditions to improve governance and conflicts management after considering Royal Commission concerns....

The Federal Government is consulting on draft regulations and legislation to remove the Corporations Act exemption for funeral insurance policies....

The Institute of Public Accountants has emerged at the head of a new push to reinstate the Accountants’ Exemption....

The Queensland-based firm has until February 2020 to comply with outstanding obligations....

Platinum Perpetual Globe Private Wealth has lost its Australian financial services licence after charges brought by Western Australian police....

Following a remediation program Suncorp has compensated 4,000 GuardianFP clients....

The financial services regulator responded to Royal Commission criticism with a ‘why not litigate?’ approach. Jassmyn Goh finds out what this means for advisers and how t...