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ASIC
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....
Financial planning
The Federal Government has extended until next November the appointment of ASIC Commissioner, Greg Tanzer....
Financial planning
ASIC’s Wealth Management Project has claimed its tenth scalp, banning a former NAB authorised representative. ...
Financial planning
Hundreds of advice firms may not have PI policies that meet ASIC’s RG126 requirements, a report reveals....
Financial planning
ASIC has issued a discussion paper on the new Life Insurance Framework with a tough analysis of the clawback arrangements....
Financial planning
ASIC releases rules that apply Australia’s compulsory central clearing regime for over the counter (OTC) derivatives of financial institutions....
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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?...