The Australian Securities and Investments Commission has given itself a solid pass mark on its own self-assessment....

The Administrative Appeals Tribunal (AAT) has upheld an appeal by former financial adviser, Tony Davidof, against ASIC’s decision....

The results of an Australian Securities and Investments Commission review of mortgage broking may prove pivotal in changing commission arrangements....

ASIC has cancelled the AFS licence of a Sydney-based firm, Core Insurance, for failing to lodge financial statements and auditor reports. ...

A co-regulatory model in relation to ASIC’s responsibilities would boost ASIC’s capacity to fulfil its responsibilities, the IPA believes....

An industry submission has accused ASIC of falling short on superannuation and funds management due to its lack of expertise....

The Government has been urged to ensure ASIC does not get to pocket the proceeds of its successful regulatory prosecutions to prevent the emergence of a ‘prosecutorial cu...

ASIC commenced civil penalty proceedings against Westpac entities, WSAL and BTFM, for their sales campaigns targeting superannuation fund members. ...

ASIC has banned a Sydney adviser and representative of Brisbane-based Protect Ensure from providing financial services for three years for misleading and deceiving client...

ASIC has released licensing exemption for fintech businesses which would allow the firms to test certain services without holding an Australian financial service or credi...

ASIC’s regulatory guidance on managed accounts as well as enhanced features should see an uptick in adviser take-up of the platform, according to Tria Investment Partners...

The Government has laid out the initial ground rules for its proposed ASIC product intervention regime but has invited discussion about whether super products should be i...

Spread betting may have the characteristics of a derivative, but the Australian Securities and Investment Commission has taken a punt on spread bets not being financial p...

ASIC has refused to grant relief to an entity seeking exemption to hold an AFSL to develop and use a robo-advice tool for use by super fund trustees on their websites....