ASIC has banned Melbourne-based financial adviser David Noel Ruthenberg from providing financial services for three years....

ASIC has commenced civil penalty proceedings against Mercer Financial Advice for allegedly making false or misleading representations to its customers about fees charged ...

In the final days of the financial year, Money Management reviews the number of charges made by ASIC against current and former financial advisers in the second half of 2...

ASIC has sought to freeze the assets of Ashley Vincent Arandez who is alleged to have obtained $2.5 million from investors by suggesting their funds would be invested in ...

An Adelaide financial adviser has been charged with falsifying company books following an ASIC investigation....

ASIC has conducted a review into how superannuation funds communicated their performance test failures to members, revealing some may have risked misleading members....

ASIC has highlighted examples of problematic marketing in managed funds and expects to make a series of regulatory outcomes in the next few months....

There is only one sitting left for advisers yet to pass the exam as the Australian Securities and Investments Commission reveals the pass mark for May’s exam....

Former Queensland financial adviser, Lawrence Toledo, has been convicted and fined $1,500 after pleading guilty to three charges of breaching an Australian Securities and...

A former subsidiary of Commonwealth Bank has been penalised $1.7 million for failing to update defective disclosure statements, the first conviction of its kind....

There are nine questions that fund managers need to ask themselves when launching a fund in order to prevent greenwashing, according to ASIC....

Spaceship Capital chairman Paul Dortkamp has been banned by ASIC for a “fundamental oversight” related to his responsibilities, less than six months after its former CEO ...

The corporate regulator has made its first conviction of an individual for using social media to co-ordinate a ‘pump and dump’ scheme of listed stocks. ...

The Australian Securities and Investments Commission has released its latest cost recovery implementation statement for 2021/22, providing an estimated levy for financial...