The investment regulator has imposed conditions on the financial services licence of Aurora Funds Management Limited following the misappropriation of $1 million of inves...

The Australian Securities and Investments Commission has accepted an enforceable undertaking from Vantage Global Prime Pty Limited....

The investment regulator has become one of the first signatories to an enhanced standard for cross-border enforcement cooperation....

The Federal Court has approved the Commonwealth Bank’s $25 million settlement with the Australian Securities and Investments Commission regarding the Bank Bill Swap Rate....

The regulator has released new guidance in advance of AFCA’s commencement to provide policy certainty for stakeholders and to support the transition to the new regime....

The Australian Securities and Investments Commission has restricted Henry Morgan from eligibility to issue a reduced-content prospectus....

The New South Wales District Court has convicted a former financial adviser of engaging in dishonest conduct with investor funds, following charges brought by the Austral...

The unprecedented nature of the closure of the Dover Financial Services business and resultant limbo status of its clients and advisers must act as a catalyst for change ...

The Australian Securities and Investments Commission has been the frequent subject of demands for greater scrutiny of the regulators themselves. As Hannah Wootton writes,...

Westpac has responded to civil charges brought against it by the regulator for poor financial advice by saying that it had already identified and responded to the alleged...

The Australian Securities and Investments Commission has broken new ground by pursuing a civil case against Westpac as the licensee of a miscreant and now banned adviser....

The Australian Securities and Investments Commission has cited the adverse impact of a sales culture in financial planning as it argues against revenue-based remuneration...

The Australian Securities and Investments Commission was left with little discretion around the future of Dover Financial Services with the licensee exercising its right ...

There have been new calls for greater transparency around how the financial services regulators are spending the levies extracted from the industry....