The application follows an investigation by the corporate regulator after concerns unlicensed financial services were being conducted during the COVID-19 pandemic when mo...

The additional Australian financial services licence conditions imposed on Societe Generale Securities Australia a year ago have been removed from 3 June, 2021. ...

There have been rising cases of advisers who have found themselves as subjects of a breach without their knowledge after applying for their own Australian financial servi...

Robert Bayntun Starky has failed to pay an Australian Financial Complaints Authority (AFCA) determination and failed to lodge 2020 audited financial accounts....

The Financial Planning Association is pushing for the current adviser authorisations issued by licensees to be morphed into professional registrations under the new singl...

The Australian Securities and Investments Commission has admitted it has discretion over the so-called ASIC levy, and has pointed to Federal budgeting for driving the cur...

The Australian Securities and Investments Commission has suspended the Australian financial services licence of Queensland-based financial services provider Investors Exc...

Both licences were cancelled because the firm failed to demonstrate it has the competence and resources to provide financial services and credit activities. ...

Money Management is continuing its wealth management series, in which we are speaking to financial planning groups to hear their views on the industry. This month, Money ...

Financial advisers should be granted as much leeway as lawyers in providing assistance with insurance claims, according to the Association of Financial Advisers....

The Financial Planning Association has leveraged the Australian Securities and Investments Commission’s affordable advice review to drive home its policy for financial ad...

The Administrative Appeals Tribunal was not satisfied Allegra Financial Services would provide financial services that was efficient, honest, and fair. ...

Advisers providing "strategic advice” or financial coaching should be subject to the same regulatory obligations as other advisers, according to the Financial Planning As...

The Australian Securities and Investments Commission has released a new draft document outlining how financial advisers and licensees will need to seek variations to thei...