The Australian Securities and Investments Commission (ASIC) has obtained interim court orders against Sydney financial adviser Gabriel Nakhl....

ASIC ordered AAA planners to be covered by the dealer group’s PI insurance policy until 29 January, 2014....

The FPA is investigating claims made by dealer group AAA Shares about its affilliation with the FPA and the CFP status of some of its planners....

The Government appears to be reconsidering its approach to the grandfathering of commissions, according to King & Wood Mallesons special counsel Michael Mathieson....

Guardian Advice is set to provide refuge to a few “high quality planners” from AAA Financial Intelligence, whose license was recently cancelled by ASIC....

A Sydney director has been banned for three years after an Australian Securities and Investments Commission (ASIC) investigation found he was unfit to engage in credit ac...

With the limited licensing regime for accountants set to begin on 1 July this year, SMSF specialists are weighing up their options....

Some of ASIC's proposed legal obligations for a custodian are unworkable, according King & Wood Mallesons director Damien Richard. ...

ASIC Commissioner Peter Kell said dealer group AAA Financial Intelligence had an “appalling record” when it comes to ensuring the advice provided was fair and honest....

A Victorian insurance broker has pleaded guilty to stealing over $660,000 of clients’ money over a seven-month period....

AMP SMSF's Philip LaGreca examines the pros and cons of using either corporate or individual SMSF trustees....

SPAA has urged auditors to register early with ASIC to ensure they can undertake SMSF audits from 1 July 2013....

The Federal Government has reaffirmed its intention to leave intra-fund advice out of the FOFA adviser charging regime....

While financial planners accept the reasons they are required to hold Professional Indemnity insurance, there are signs the system needs a review....