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Financial planning
A former JP Morgan Chase employee and her friend have been sentenced by the District Court of New South Wales for engaging in insider trading....
People & Products
In line with strategic changes to its operations, Professional Investment Services (PIS) has made three senior management appointments....
Financial planning
ASIC is concerned about the number of breaches of basic client money-handling practices in the CFD and margin FX sector, according to Commissioner Greg Tanzer....
Financial planning
A former licensed finance broker from Western Australia has been permanently banned from providing financial services and engaging in credit activities....
Editorial
As the planning industry considers ASIC’s consultation paper on conflicted remuneration, Paragem's Ian Knox argues that the spoils will likely go to those with the most t...
Superannuation
The Australian Securities and Investments Commission (ASIC) may need to revise the $200,000 figure it placed on the success of self-managed super fund (SMSF) starters aft...
Financial planning
A Storm Financial adviser has been permanently banned by the regulator after it was found he failed to comply with financial services laws....
Financial planning
ASIC has made nine recommendations for improving the operations of Chi-X Australia as part of its annual assessment report....
Financial planning
The FPA received a large amount of useful feedback from members and other stakeholders when consulting on its updated professional code of conduct....
Superannuation
Investors are being warned about the fraudulent activities of purported private investment firm Swiss Private Capital and its offers of interests in 'Aussie Super - Super...
Superannuation
Self-managed superannuation fund (SMSF) auditors will now be subject to a range of standards concerning their qualifications, competency and independence under the Supera...
Financial planning
ASIC has signalled an 18-month phase-in for new rules around high frequency trading and dark pools....
Financial planning
ASIC has handed out its second enforceable undertaking this month to a former Storm Financial adviser....
Financial planning
The financial services industry has generally welcomed the Federal Government's announcement of market integrity rules covering high frequency trading and dark pools....
Financial planning
The Federal Government has moved to review the financial market licensing regime in the context of not only high frequency trading but other changes in the financial serv...
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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...