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ASIC
Financial planning
ASIC has accepted an EU from HSBC for potentially giving poor advice to clients on retail structured products without collecting sufficient information and considering th...
Financial planning
A former CBA planner allegedly forged client signatures to meet the requirements of CBA’s internal audit process, following an ASIC investigation....
Financial planning
ASIC has permanently banned a NSW financial services licence holder from providing financial services after it found he was convicted of multiple counts of fraud and othe...
Editorial
The Australian Securities and Investments Commission has acknowledged that it has had little cause to scrutinise insurance claims handling and it will be highly reliant o...
Financial planning
Wickham Securities chairman has been permanently banned by ASIC from providing financial services for dishonesty....
Superannuation
A South Australian company director has been charged with 31 counts of deception, after he allegedly misappropriated $1.8 million of SMSF monies. ...
Funds management
ASIC enquiry found an Australian retail over-the-counter (OTC) derivative issuer “mingling” client money. ...
Financial planning
Investigations into former Macquarie Equities advisers are set to continue after a review of post-EU reforms show no signs of inappropriate advice....
Funds management
AMIT legislation welcomed but Equity Trustees is calling on the Government to do more. ...
Policy & Regulation
ASIC deputy chairman, Peter Kell, has admitted that prior to issues around CommInsure, it had received few complaints about life insurance claims handling....
Financial planning
A Western Australia-based financial planner's ability to retain his accreditation will be left up to ASIC after failing to secure a spent conviction relating to a breach ...
Financial planning
ASIC chairman, Greg Medcraft has received his wish with increased funding for the regulator to “combat misconduct in the financial services industry”....
Financial planning
ASIC bans former financial planner after receiving information from National Australia Bank....
Policy & Regulation
Not-for-profit fund UniSuper has welcomed the Government’s move to boost ASIC funding instead of pursuing a Royal Commission into the banking and financial services indus...
Financial planning
The Government has announced a $127.2 million reform package for ASIC, with costs to be recovered from all industry sectors regulated by ASIC. ...
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Podcast
So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...