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ASIC
Policy & Regulation
The obligations flowing from the FSC’s Life Insurance Code of Conduct may extend beyond its members with the Federal Government signalling it wants the code to carry ASIC...
Financial planning
Findex Group and Financial Index Australia have been fined $10,800 each for misleading claims on the Findex website, ASIC said....
Financial planning
ASIC has permanently banned a Tasmanian adviser from providing financial services due to false information in relation to his qualifications....
Financial planning
ASIC deputy chairman, Peter Kell, has delivered an optimistic assessment of progress in improving the advice culture but has warned of a long journey ahead....
Financial planning
ASIC has commenced civil proceedings against Ben Jayaweera and Growth Plus Financial Group after it contravened its Australian Financial Services licence....
Policy & Regulation
ASIC has cancelled Lotus Securities AFSL after it breached several of its key obligations. ...
Financial planning
ASIC has permanently banned former Deutsche Bank’s trader, Andrew Donaldson, from providing financial services for making false entries into records....
Funds management
Huntley Management has earned the ire of ASIC after using advertising material to claim the managed investment schemes for which it was the responsible entity were approv...
Funds management
ASIC has tightened the regulatory framework for charities that raise investment funds, following a review of their activities. ...
Financial planning
A former Illawong financial adviser has appeared in court on 19 charges of engaging in dishonest conduct with investor funds, including their self-managed superannuation ...
Policy & Regulation
The Australian Securities and Investments Commission has been playing catch-up on robo-advice and has set the regulatory bar too low, according to Adviser Intelligence's ...
Superannuation
Property developer, LT Management, has been slapped with a $10,800 infringement notice for false representations that establishing an SMSF would be free. ...
Financial planning
ASIC has banned former BTFG financial adviser, Michael Mahoney, from providing financial services for four years for misleading and deceptive conduct when providing insur...
Financial planning
ASIC has discontinued proceedings against two out of five of the former directors of the collapsed Gold Coast-based fund manager, LM Investment Management....
Financial planning
ASIC has permanently banned a former Queensland AMP Financial Planner representative from providing financial services for providing inappropriate advice and borrowing cl...
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MARKET INSIGHTS
Podcast
Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...
So we are now underwriting criminal scams?...