Some 52% of financial advisers have passed the latest financial adviser exam, figures from the Australian Securities and Investments Commission show....

The Australian Securities and Investments Commission (ASIC) has warned brokers to be careful about or reconsider offering high-risk products and services to retail invest...

The Australian Securities and Investments Commission is calling on superannuation trustees to improve the effectiveness of target market determinations after a sample rev...

The Australian Securities and Investments Commission has secured $102 million for customers who could have been mis-sold policies by Freedom Insurance....

The Australian Securities and Investments Commission has banned a Perth-based financial services director for six years after the regulator found she demonstrated a lack ...

The Australian Securities and Investments Commission has released investment behaviour research showing what it views as a concerning rise in unregulated, volatile crypto...

The corporate regulator’s call for former Dixon Advisory clients to register any complaints with AFCA demonstrates the need for establishing a broad-based Compensation Sc...

The Australian Securities and Investments Commission says it will focus on improving the operation of the breach reporting regime as part of its 2022-23 priorities....

A former New South Wales financial adviser has been permanently banned by the regulator for engaging in dishonest conduct....

Former clients of Dixon Advisory and Superannuation Services have been urged to make a complaint as soon as possible as they may be eligible for compensation under a pote...

The Australian Securities and Investments Commission has banned an Adelaide-based financial adviser from providing financial services for five years after problems with t...

A financial adviser jailed for importing and smuggling cocaine has had the Australian financial services licence of his Alice Springs-based firm suspended....

ASIC has banned Albert Christen Walters, known as Chris Walters, a former director of a financial services licensee, from performing the functions of an officer and a res...

The Australian Securities and Investments Commission has imposed its first design and distribution stop orders on three financial firms in response to deficiencies in the...