Nicholas James Ellis has been sentenced for making false or misleading statements to obtain money from clients and fraudulent misappropriation of client funds....

The Government’s decision to scrap industry-run Code Monitoring Authorities will save the major planner bodies millions in set-up and running costs....

The Australian Securities and Investments Commission is due to appear before the House Economics Committee this Wednesday to discuss how it is implementing the Hayne Roya...

The Australian Securities and Investments Commission has identified eight red flags which would make it ‘extremely unlikely’ for an investor to gain any advantage from us...

Australian Securities and Investments Commission chairman, James Shipton, has pointed to regulatory concerns about the consolidation of investment funds and the consequen...

The Australian Securities and Investments Commission has banned Beenleigh-based adviser, Ian Haisman, from providing financial services for seven years....

A little talked about Australian Securities and Investments Commission project around the adviser best interests duty has been identified as substantially increasing red ...

Max Kiattisak Eung has been sentenced to jail after pleading guilty to obtaining financial advantage by deception of $166,500....

CommInsure has been charged by the Australian Securities and Investments Commission for offering to sell life insurance products via non-compliant unsolicited phone calls...

Laura Dew explores how the managed account space could change in the future as the industry awaits the conclusion of an ASIC review of the sector....

The Australian Securities and Investments Commission has urged a ‘sense of urgency’ be applied by companies to their non-financial risks, including compliance risk. ...

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

The Association of Financial Advisers has called for the release of key consultation submissions and for greater clarity around the detail of the Government’s legislation...

ASIC said Kyle Marshall did not understanding the meaning of personal advice and did not act in his clients’ best interest....