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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
Life/Risk
ASIC has permanently banned an ANZ bank representative and a former insurance broker after they were found to have misappropriated clients’ funds....
Financial planning
Two companies affiliated with the embattled Westpoint Group have been served with interim asset freezing orders by the Australian Securities and Investments Commission...
Financial planning
The corporate regulator has sought to shut down companies associated with a “financial mentor” from Brisbane....
Financial planning
Credit providers need to be mindful of existing advertising offers before making changes to products, following recent representations by the corporate regulator over bai...
Financial planning
A former stockbroker and options adviser has pleaded guilty to 27 counts of forgery in the Adelaide District Court....
Financial planning
The Financial Planning Association is to investigate the circumstances surrounding the enforceable undertaking provided by AMP Financial Planning to the Australian Securi...
Funds management
The former director of a funds management company has been convicted of making false and misleading statements and placed on a two-year good behaviour bond, following an ...
Financial planning
The chairman of the Australian Securities and Investments Commission, Jeffrey Lucy, has reiterated that it will not be imposing its views with respect to the fee-for-serv...
Policy & Regulation
The Australian Securities and Investments Commission has requested orders against the Intertax Group in respect of an alleged unregistered managed investment scheme....
Life/Risk
An insurance broker has been charged with 11 counts of dishonest conduct following an investigation by the Australian Securities and Investments Commission....
Financial planning
AMP Financial Planning has given the Australian Securities and Investments Commission an enforceable undertaking relating to the provision of superannuation switching adv...
Financial planning
The Supreme Court of New South Wales has further extended orders preventing the sole director of Palentia, formerly known as Kebbel, from disposing of his assets and leav...
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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...