ASIC has banned a former state manager for Paterson Securities after finding he engaged in dishonest conduct and in misleading or deceptive conduct over a two year period...

ASIC announces banning of Charterhill Group founder, George Nowak, until 3 July, 2017....

Planners will pay more than $40 each to be recorded on the new ASIC adviser register with initial fees set to cost the planning sector more than $750,000....

ASIC banned former Provident Capital MD from managing corporations for five years and providing financial services for seven years....

An increasing number of participants in the financial services industry are subject to a "best interests" obligation in relation to their clients. But what exactly does ...

ASIC has approved nearly 500 applications for relief from provisions of federal legislation during the past September quarter. ...

Consumer group Choice has resumed its call for a ban on asset-based fees....

The former director of a foreign exchange provider has been “restrained” from providing financial services after providing services not covered by its licence....

ASIC cancelled the AFSL of Coal Industry Superannuation Fund after its merger with AUSCOAL Super last year....

A former financial adviser has been jailed after being found guilty of stealing shares worth almost $1.5 million to meet margin calls on his mother’s margin lending accou...

An online registry has been launched by Sophisticated Access to look after sophisticated investor certificates online....

The financial advisers’ register is missing key bits of information, defeating the purpose of the register to make information transparent to consumers....

ASIC has cancelled the licence of Custom Wealth Solutions Dealer Services after the group entered into external administration earlier this year....

A Queensland adviser has been given a hold on a five-year ban from ASIC following a hearing at the Administrative Appeals Tribunal....