As a Federal Court judge notes the lack of experience held by the responsible manager of Lanterne Fund Services, Money Management explores what is required of the role. ...
The Federal Court has issued a seven-figure penalty against Lanterne Fund Services, a wholesale licensee which operated as a ‘licensee for hire’. ...
ASIC has appealed the Federal Court’s decision to dismiss proceedings against Finder regarding a crypto-asset product. ...
The head of Mayfair 101, James Mawhinney, has been charged with four counts of engaging in dishonest conduct....
ASIC has concluded its investigation into alleged insider trading by financial technology company Nuix’s chief executive Jonathan Rubinsztein....
As the first quarter of 2024 comes to a close, Money Management looks back on the corporate regulator’s bans and AFSL cancellations in the financial advice sector....
With the first financial adviser exam of the year under the new structure held on 26 March, candidates have described it “tough” despite changes – meaning questions are m...
Former Sydney financial adviser, David Valvo, has been charged in court with 12 counts of dishonest conduct....
The Federal Court has issued its verdict in ASIC's first greenwashing case against Vanguard Investments Australia regarding the use of ESG exclusionary screens....
ASIC has cancelled the Australian financial services licence of a Sydney advice firm with the business having lost more than 30 advisers since the start of 2024, accordin...
A former corporate adviser has been sentenced in the Supreme Court of Western Australia for insider trading to realise a profit of more than $57,000....
ASIC has reminded advisers that their registration requirements are an ongoing obligation, having met the first deadline on 16 February, and highlighted when a registrati...
The corporate regulator has handed down a permanent ban to the director of a crypto fund, whom it deemed to lack “integrity, trustworthiness and judgement”....
The corporate regulator has permanently banned a Queensland-based adviser from providing any financial services. ...
A third individual, David Sipina, charged in relation to Courtenay House group of companies, has pled guilty to two criminal charges regarding his involvement in a $180 m...
It is very worrying that Stephen Jones and the Labor government are now trying to limit the access retirees have to thei...
Let's face it, recruitment numbers are down because the government, and their bureaucrats, have made this a dying indust...
Phil Anderson is pure gold....