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ASIC
Financial planning
The director was pulled up last year over providing unlicensed financial product advice....
Financial planning
ASIC has permanently banned a Perth financial adviser following his convictions of fraud....
Financial planning
ASIC has cancelled the Australian financial services licence of Sydney-based Brava Capital, which was charged last October for allegedly failing to lodge financial accoun...
Financial planning
Smaller licensees should be aware that they are just as much on ASIC’s radar as their larger counterparts as increased data and technology means the regulator has greater...
Funds management
The Federal Court has made one of its first decisions on the application of financial services law regarding crypto assets for fintech company Block Earner....
Financial planning
A Western Australian financial adviser has launched a petition and called for Financial Services Minister Stephen Jones to increase the portion of the ASIC levy paid by l...
Financial planning
ASIC has issued a final reminder to unregistered financial advisers as the 16 February deadline looms and confirmed the progress made by advisers since the extension....
Financial planning
ASIC kicked off the year with its first licence cancellation and a contempt of court application as it states it is seeking to send a “clear compliance and deterrence mes...
Financial planning
ASIC chair Joseph Longo says the regulator is conducting a review into the use of artificial intelligence in financial advice as it explores how to prevent AI harm to con...
Financial planning
The actions of Sydney fraudster Melissa Caddick have resulted in heavy costs for the financial advice subsector, as the FAAA calls for costs of enforcement against unlice...
Financial planning
The regulator has provided example questions of what the next batch of candidates sitting on 26 March can expect to see, following regulatory changes to its structure. ...
Funds management
Sustainable funds in Australia and New Zealand saw US$567 million in inflows in the last quarter, according to Morningstar, but political concerns in the US meant global ...
Financial planning
A former Melbourne wealth director could face imprisonment after allegedly running five companies despite being ordered by the Federal Court to not carry on a financial s...
Financial planning
The corporate regulator has confirmed it will incorporate legislative amendments to the financial adviser exam, with March’s exam set to reflect the changes....
Financial planning
ASIC has cancelled the AFSL of a Sydney-based financial advice firm, its first licence cancellation of the new year. ...
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FWIW I am a long term holder of both. I am relaxed about my LICs trading at a discount. Part of a cycle. I would like...
The term "The democratisation of private assets continues to gain steam" is marketing misleading. There is no democracy...
I have passed this exam, and it is not easy or fair exam. It's no wonder that advisers are falsifying their results. ...