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ASIC
Financial planning
Former Radar Iron Limited and Armada Capital director, Ananada Kathiravelu, has been banned from providing financial services for three years following market manipulatio...
Financial planning
Paul Kevin Bennetts has been banned from providing financial services for six years after asking a compliance officer to complete his Australian Institute of Company Dire...
Policy & Regulation
The corporate regulator will be working with regulatory technology entities for its Business Research and Innovation Initiative, dealing with the challenges of corporate ...
Financial planning
While adviser numbers continued to decrease this week, it was at a slower pace than anticipated as many licensees are yet to report their data to the corporate regulator....
Policy & Regulation
The Australian Securities and Investments Commission (ASIC) is consulting with interested parties on updating guidance for the naming conventions of exchange traded produ...
Superannuation
The superannuation fund is the first licensee to have a civil penalty imposed for failing to report breaches to the corporate regulator since its new penalty powers were ...
Superannuation
The corporate regulator has noticed an increase in marketing recommending Australians to switch to self-managed superannuation funds that invest in crypto, and has warned...
Policy & Regulation
Greater oversight from the corporate regulator of financial and compensation arrangements will reduce unpaid determination risk and ensure the CSLR operates as a genuine ...
Financial planning
The cost to sit the financial adviser exam will be higher than initial estimates as it moves to being run by the corporate regulator and any Standard 3 amendment responsi...
Financial planning
The Australian Securities and Investments Commission ended 2021 with a raft of fines, bannings, licence cancellations, and a bankruptcy notice....
Financial planning
The financial advice industry is finishing the year with a loss of 2,189 advisers, however the worst is yet to come, according to Wealth Data....
Funds management
The corporate regulator’s chair has argued that while it could have acted more quickly and could have published a media release more energetically on the Sterling case, i...
Financial planning
The pathway will allow financial advisers who have 10 or more years of full-time experience in the last 12 years to only complete a tertiary level unit on the code of eth...
Financial planning
Former authorised representative of ANZ-owned Millenium3, Melinda Scott, has been convicted of managing a corporation whilst being disqualified from providing financial s...
Policy & Regulation
The corporate regulator has obtained interim orders from the Federal Court to freeze the assets of Ascent Investment and Coaching, as funds may have been raised and used ...
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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...