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ASIC
Financial planning
ASIC has cancelled the AFSL of 42-planner dealer group Morrison-Carr and permanently banned its sole director Dennis Cardakaris from providing financial services....
Financial planning
ASIC has imposed a five-year ban on Sydney businessman Leigh Barker for misleading investors and losing $12.5 million....
Policy & Regulation
Some question the background of key ASIC personnel handling FOFA regulatory development....
Financial planning
ASIC has cancelled the AFSL and national credit license of 42-planner dealer group Morrison Carr Financial Services....
Financial planning
ASIC has frozen $3.4 million in funds held by Investment Intelligence Corporation amid suspicion it operated without an AFSL....
Financial planning
Professional codes of conduct that meet approval in terms of obviating the need for financial advisers to comply with opt-in will need to achieve the same outcomes as opt...
Life/Risk
Funeral insurance could be the most expensive way to manage funeral costs, and ASIC is urging investors to consider all the alternatives....
Financial planning
ASIC has released a consultation paper on the public trading of Commonwealth Government Securities in a bid to develop a broad, liquid corporate bond market....
Financial planning
A former director of a purported investment company has pleaded guilty to three criminal charges following an Australian Securities and Investments Commission investigati...
Financial planning
The company formerly known as RAMS Mortgage Corporation will refund more than $3.3 million to its customers after charging what the regulator considered unfair early term...
Editorial
An Australian Crime Commission report into investment scams has underscored the role financial planners have in protecting investors from themselves....
Editorial
Kathryn Wardrobe outlines some of the finer details of the new credit legislation which might have slipped through the cracks....
Funds management
An ASIC review of unlisted property managed investment scheme responsible entities has pointed to some deficits and an ongoing review program....
Financial planning
An adviser specialising in self-managed super funds has pleaded guilty to taking $250,000 from his clients by deception and making a false statement to ASIC....
Financial planning
ASIC has permanently banned Colin James Oberg from providing financial services after he withdrew over $1.55 million of client funds without permission....
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MARKET INSIGHTS
Podcast
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...