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ASIC
Funds management
ASIC has set new disclosure requirements for hedge funds, following industry consultation and the Parliamentary Joint Committee report into the Trio Capital collapse....
The Industry Super Network claims high frequency trading is benefiting a small subset of investors at the expense of super funds....
Financial planning
Shareholders in Australian publicly-listed companies are likely to get more information from annual reports under new guidance being proposed by ASIC....
Financial planning
ASIC's settlement with the CBA sees the BOQ and Macquarie Bank left to face Storm Financial litigation....
Editorial
Financial planners are required to be members of an approved external disputes resolution service but they may not always know whether they are getting value for money....
Financial planning
The Government has outlined a range of changes to give APRA greater scope to take pre-emptive action....
Financial planning
ASIC has monitored more than 3,300 providers of financial advice over the past year, dedicating 29 staffers to the surveillance....
Financial planning
A former WealthSure financial adviser has appeared in court facing 22 fraud charges brought by the Australian Securities and Investments Commission....
Financial planning
ASIC promises more reviews of managed funds risk practices, citing concerns about over-use of external risk consultants....
Financial planning
New insolvencies data suggests financial services firms are weathering the tough times better than most, albeit some advisers and MIS schemes were exposed....
Financial planning
The Australian Securities and Investments Commission (ASIC) has alleged in court that a South Australian adviser misappropriated $3.1 million in client funds....
Financial planning
The National Consumer Credit Act was implemented for the first time after a Sydney director was found guilty of contravening it. ...
Financial planning
A former company director will serve six months jail time after pleading guilty to defrauding investors. ...
Financial planning
Addwealth Financial Services has been forced to adhere to additional requirements under its Australian financial services licence after surveillance of its advice busines...
Editorial
ASIC has been handed a mammoth task in delivering FOFA, underscoring the tiny window available to the financial services industry to prepare for the new regulatory regime...
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The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
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...