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ASIC
Policy & Regulation
ASIC has cracked down on a margin foreign exchange provider after it provided unlicensed financial services to Australian investors and had misleading information on its...
Financial planning
The Government has moved to market test the sale of ASIC’s registry business....
Policy & Regulation
ASIC has cancelled the AFSL of an foreign exchange provider after an investigation found it failed with its obligations, including making false and misleading statements....
Financial planning
A financial planner has been ordered to surrender his passport following an ASIC request and investigation into alleged unauthorised withdrawals of client funds....
Financial planning
ASIC announces the release an online XBRL to enable human readable digital financial reports instead of lodging paper financial reports....
Financial planning
ASIC has moved to issue a Regulatory Guide based on the recent remediation exercises flowing from major planning failures....
Financial planning
ASIC has banned a former Sydney-based financial adviser who was not trained or competent to provide financial services for three years....
Financial planning
ASIC facilitative approach to the FOFA changes will end on 1 July. ...
Financial planning
The FPA is concerned that professional associations listed on ASIC’s Financial Advisers Register may not be relevant to advice and confuse consumers....
Financial planning
A financial planning practice within Charter Financial Planning has paid $10,200 penalty after ASIC found it made misleading representations in an article on its website....
Financial planning
Property spruiker to face court after ASIC finds payments of $431,000 to company accounts. ...
Financial planning
Planners will pay more than $40 each to be recorded on the new ASIC adviser register with initial fees set to cost the planning sector more than $750,000....
Financial planning
A Melbourne man has pled guilty to conspiring to defraud financial institutions with false home loan documents....
Financial planning
Gold Coast financial planning and property management group hit by ASIC penalty for false and misleading advertising....
Financial planning
Employers and businesses must attain verification at the source for educational and employment background of advisers for the national register of advisers to be reliable...
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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?...