Financial advisers could be placed at risk of retribution when switching licensees under the reference checking protocols being put forward by the Australian Securities a...

The Financial Planning Association’s proposals to have adviser registration over-ride licensing has run into a backlash from key financial planning licensees who say they...

The Australian Financial Complaints Authority has said it will take the Financial Adviser Standards and Ethics Authority code of ethics into account in making its determi...

The Australian Securities and Investments Commission has foreshadowed court action in the wake of a review of fee disclosure statements and renewal notices which uncovere...

The Financial Planning Association is canvassing what the industry might look like over the next half-decade including whether a new licensing regime may evolve....

Melbourne-based lawyer, Dan Mackay, argues that AMP is on far from firm legal ground in its approach to advisers and Buyer of Last Resort....

The Australian Securities and Investments Commission has said that claims that it causes serious delays in “stringently reviewing” responsible manager appointments are “p...

The Administrative Appeals Tribunal has upheld a decision to refuse Superannuation Warehouse’s application for a limited Australian financial services licence, after its ...

The Australian Securities and Investments Commission has confirmed hundreds of firms operating in the Australian financial services industry are affected by the United Ki...

ASIC has imposed additional conditions on the Australian financial services licence of Kaz Capital, following concern on the adequacy and effectiveness of the company’s c...

Having an unblemished record as a chartered accountant is not justification in itself for being granted an Australian Financial Services License, according to the Adminis...

The new industry funding model for the Australian Securities and Investments Commission will see financial planning licensees and credit providers carrying some of the gr...

The Australian Securities and Investments Commission has cancelled the licence of a Sydney-based financial advisory firm following surveillance into potential issues of l...

As rumours swirl about the demise of the dealer group, ClearView has announced an offering that would give financial advisers who want their own AFSL access to the compan...