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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
ASIC has issued a reminder to all margin lending providers that they need to have, or applied for, a margin lending authorisation by 30 June if they wish to continue prov...
Financial planning
QBE has settled a $2.3 million Westpoint claim as PI insurer for the liquidated Glenhurst Corporation....
Financial planning
The Australian Securities and Investments Commission (ASIC) will soon have the power to take action against banks for 'unconscionable' fees, including unfair mortgage exi...
Financial planning
ASIC has accepted an enforceable undertaking from a Brisbane-based auditor and suspended him for 18 months amid concerns he acted in breach of various auditing standards....
Financial planning
ASIC has begun its daily aggregated short positions reports, which are aimed at improving short selling transparency in the Australian market....
Financial planning
ASIC is seeking public comment on relief proposals that will permit certain indirect self-acquisitions by investment funds....
Financial planning
The UK regulatory system will be overhauled, and the Financial Services Authority - the UK's version of the Australian Securities and Investments Commission - will be abo...
Financial planning
Concerns have been raised about the insufficient oversight of financial planning education standards....
Financial planning
Former motivational speaker Christopher Koch promoted a fictitious, international, high-yield investment - telling investors they would receive returns of up to 150 per c...
Financial planning
Registrations for credit licences are about to hit 12,000 as financial services providers prepare for changes to the credit licensing regime, with the regulator urging th...
Editorial
With trailing commissions soon to be a thing of the past, owners of financial planning practices need to ask themselves how much their businesses are worth....
Financial planning
The Administrative Appeals Tribunal has upheld ASIC's banning of Citigroup Wealth Advisers broker Roberto Gerald Catena from providing financial services for five years, ...
Financial planning
The Australian Securities and Investments Commission (ASIC) to get phone tapping and other intercept powers as the Government moves to clamp down on insider trading....
Financial planning
Deborah Koromilas yesterday resigned from her position of executive leader for financial advisers with the Australian Securities and Investments Commission....
Financial planning
The Financial Planning Association (FPA) and Association of Financial Advisers (AFA) are keen to have representation on the Future of Financial Advice expert advisory pan...
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The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...