The corporate regulator has cancelled the Australian financial services licence of over-the-counter derivatives issuer Union Standard International Group....

Barely weeks after the new litigation funding licensing regime became law, one of the biggest funders has obtained its Australian Financial Services License. ...

Key correspondence between the Australian Securities and Investments Commission and Treasury over making class action litigation funding subject to an Australian Financia...

The corporate regulator has obtained interim orders against PW Kitt Co and sole director Larry Dawson for a fraudulent SMSF advisory business. ...

Although the industry continues to lose advisers, this week’s data from HFS Consulting has shown that the losses were lower compared year-on-year. ...

When entering into a binder agreement both the insurance agents or brokers, and the insurer need to ensure the other party has the appropriate Australian financial servic...

Licensees in an agreement with unlicensed product issuers cannot deal in a financial product unless they are issuing, varying, or disposing for the product issuer, accord...

A member of a key Parliamentary Committee has queried whether financial planners are too afraid to challenge the Australian Securities and Investments Commission because ...

The Australian Securities and Investments Commission has permanently banned Melbourne former responsible manager, Anthony David Wynd, from providing financial services....

An unlicensed company sought to convince the Australian Securities and Investments Commission that there was commercial advantage in it being allowed to have advisers con...

The additional conditions will require an independent expert to assess and test controls, systems and processes after the firm deposited client money into unauthorised ba...

The corporate regulator has cancelled the Australian financial services licence of retail over-the-counter derivative issuer Forex Capital Trading after clients incurred ...

The Financial Planning Association has signalled it wants the next best thing to the commercial benefits which would have flowed from being a code-monitoring body, with i...

The Financial Planning Association wants planners to be registered to provide advice in a move which would leave licensing to the coverage of financial products....