AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Financial planning
Infrastructure entities are the next in line for a shake-up by ASIC, with the release of a consultation paper aimed at improving disclosure to retail investors....
Life/Risk
Alph Edwards takes a look at the recent introduction of the Insurance Contracts Amendment Bill 2010 and the critical changes it will have on the Insurance Contracts Act....
Financial planning
The Australian Securities and Investments Commission (ASIC) has launched a new website to keep Storm investors informed of its investigations and the outcome of commercia...
Financial planning
Financial planners have been warned they risk failing recommended fiduciary requirements to act in their clients' best interests if they choose not to advise on margin le...
Financial planning
Charges against two Queensland men relating to the collapse of Westpoint have been discontinued by the CDPP....
Financial planning
ASIC has obtained Federal Court orders freezing the assets of what it believes may be a Ponzi scheme....
Financial planning
ASIC's new consultation paper on agribusiness schemes has prompted specialists to argue that debt rather than general information was the major problem....
Financial planning
ASIC has taken action against the unlicensed operators of 14 unregistered offshore managed investment funds who allegedly targeted Australian investors and self managed s...
Funds management
A 24-year-old equities dealer has pleaded guilty to insider trading charges relating to the use of CFDs....
Financial planning
The Boutique Financial Planning Principals Group (BFPPG) has hit back at industry dismissals of the independence of advice as a question of perception rather than reality...
Financial planning
Lenders, brokers and intermediaries dealing in consumer credit can now register for an Australian Credit Licence (ACL) under the new National Consumer Credit Protection A...
Life/Risk
ASIC has released regulatory guidance about the compensation and professional indemnity insurance obligations under the National Consumer Credit Protection Act....
Financial planning
Queensland man has jail conviction commuted to three-year good behaviour bond on Westpoint charges....
Financial planning
The former secretary of failed investment firm Chartwell Enterprises, Ian Rau, has pleaded guilty in the Victorian Supreme Court to eight further charges brought by ASIC....
Financial planning
Former Macquarie Bank portfolio manager Oswyn De Silva has been jailed after pleading guilty to contempt charges....
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Podcast
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...