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ASIC
Funds management
ASIC vows to continue scrutiny of margin lending after finding issues around double-geared margin loans....
Policy & Regulation
Westpac will pay $1 million to support financial counselling and literacy initiatives, for failing to comply with its responsible lending practices....
Superannuation
The Australian Tennis Open has emerged as a major venue for the industry funds compare the pair advertising campaign....
Accounting
ASIC numbers revealed application and approval numbers remained low for accountants even as the removal of the accountants exemption for advising on SMSFs loomed....
Financial planning
ASIC has accepted an enforceable undertaking from a Queensland-based ClearView representative who failed to comply with financial services laws....
Financial planning
A former Macquarie Equities Limited representative has been banned from providing financial services following investigations by ASIC as part of its Wealth Management Pro...
Financial planning
Ex-financial adviser, Thanh Tu, will serve a minimum of three years in prison after pleading guilty to 33 counts of fraud and 21 counts of fraudulent falsification of rec...
Financial planning
ASIC has banned a former ANZ authorised representative for 10 years for contravening financial services laws via misleading and deceptive conduct....
Funds management
Provisional liquidators have been appointed to wind up five companies suspected of operating a ‘Ponzi scheme’, in a case involving two of Australia’s biggest banks....
Financial planning
ASIC cancelled the AFSL of financial services company, Chronos Capital, and permanently banned its director, Robert Semple, from providing financial services....
Policy & Regulation
ASIC has confirmed it will not necessarily take action on allegations of false and misleading advertising if it believes the complainants can do so themselves....
Superannuation
A superannuation fund industry survey has revealed most believe that SMSFs should be regulated by APRA....
Funds management
ASIC has accepted EUs from Bell Potter and one of its institutional stockbrokers after he was found to have revealed confidential client information to a funds management...
Financial planning
ASIC has banned former ‘adviser’, Tony Davidof, from providing financial services for three years....
Financial planning
A forensic investigation has identified 17 more CBA planners requiring investigation and possible client compensation....
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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...