The conviction rate for cases referred by ASIC to the Commonwealth Director of Public Prosecutions has fallen to half compared to 100 per cent in the year prior....
Australasia Wealth Services and Management director, James Feng, was accused by the corporate regulator for authorising the making of a false or misleading statement....
External law firms have been brought in as the Australian Securities and Investments Commission looks to wrap up referrals from the Royal Commission....
Financial advisers were notable by their absence from the Australian Securities and Investments Commission’s latest Enforcement Update....
A former Adelaide financial adviser has pleaded guilty to 29 dishonesty offences committed when he was a planner, after ASIC found that he stole around $4.88 million from...
Must agree to disagree with you on this one Keith, with the Banks/Institutions largely out of advice now is the time to ...
Would love if ASIC provided results to the individuals who sat the exam first... still waiting... ...
I apologise, but, in my opinion, you are not right. I am assured. Let's discuss it. Write to me in PM, we will communica...