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ASIC
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...
Life/Risk
ASIC is urging insurers to improve their consumers’ understanding of what their no-claims discount scheme offer....
Equity Trustees Limited and Como Financial Services have each paid penalties of $20,400 over “potentially misleading” information....
Financial planning
ASIC has banned a Queensland based financial adviser from providing financial services for five years for misleading conduct and inappropriate advice....
Financial planning
ASIC may take enforcement action against individual financial planners who provided advice on complex products after 10 licensees have been involved in taking corrective ...
Financial planning
ASIC banned former Provident Capital MD from managing corporations for five years and providing financial services for seven years....
Financial planning
ASIC has released updated guidelines regarding Enforceable Undertakings (EU) stating it would provide further details as to the level of compliance attained by groups iss...
Financial planning
ASIC deputy chairman, Peter Kell, says the regulator is not yet facing a rush by accountants to be licensed....
Accounting
A Gold Coast accountant will serve an eight month sentence by way of an intensive correction order, after pleading guilty to misleading ASIC....
Financial planning
Macquarie Group will compensate 80 clients, or around 13 per cent of cases reviewed in its client remediation work, but more may follow....
Financial planning
ASIC has cancelled the licence of a margin foreign exchange business for making frequent changes to one of its user platforms, but failing to document them. ...
Financial planning
ASIC has flagged concerns about social media posts by a Bitcoin miner, announcing its intension to list on the ASX, despite not having lodged documentation with the regul...
Financial planning
ASIC warns retail investors against the risks of dealing with unlicensed binary options providers singling out Opteck.com in specific warning. ...
Financial planning
Macquarie Equities Limited has completed the two year term of its enforceable undertaking reducing it adviser numbers in Macquarie Private Wealth by 25 per cent....
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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...