A report from the corporate regulator and Deloitte found platforms and research houses created barriers to entry, and managed accounts structures could potentially create...

The corporate regulator has banned former Sydney-based dealer and portfolio manager at Regal Funds Management, Dylan Rands, for five years on the grounds of market manipu...

Advisers who have taken a career break or a secondment by the end of 2021 will not be considered a new entrant when they wish to return to their adviser role but will hav...

The corporate regulator also expects its focus on financial advisers to decline and looks to provide better examples of records of advice to decrease the compliance burde...

Jane Hume said she has no interest in perpetuating a ‘nanny state culture’ where it resorts to banning things to save people from their own follies such as making financi...

The corporate regulator has permanently banned Ross Andrew Hopkins from providing financial services after it found he had made 167 unauthorised transfers totalling $2.94...

Under 40% of financial advisers are members of the largest professional body representing financial planners in Australia, according to data....

First-time investors currently sourcing information from social media should not be shut out of receiving financial advice in the future as a result of public policy. ...

Prior to now, advisers were not in a position to deal with understanding the design and distribution obligations but now is the time given the raft of information coming ...

With the design and distribution obligation regime set to begin in less than three weeks, the corporate regulator has released guidance on what is most important for fina...

Former Halifax Investment Services lead auditor, Robert James Evett, has been found to not be a fit and proper person to remain registered as an auditor following his con...

Mounting regulation is turning advisers into “admin assistants with Government records” and Government intervention is needed to maintain limited licensees in the industr...

The corporate regulator has alleged misconduct against the bank’s home loan clients while it was still under ownership of the industry superannuation funds....

The Government is seeking to make amendments to the design and distribution obligation regime including removing the requirement for advisers and licensees to report whet...