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FINANCIAL SERVICES LICENCE
Life/Risk
A former travelling insurance agent has been banned for life from providing financial services and sentenced to seven months in jail after defrauding several of his clien...
Financial planning
Financial planners and accountants need to work together to lobby against licensing changes that affect both sectors in similar ways, according to HNW Planning director R...
Financial planning
A Melbourne-based derivatives dealer is being prosecuted by ASIC following an investigation into suspected misleading and deceptive conduct....
Financial planning
Another Chartwell director faces jail after pleading guilty to 47 charges involving $21 million....
Funds management
Islamic funds manager Crescent Funds Management has been granted an AFSL, and plans to launch a Shariah-compliant Australian equities fund in the first quarter of 2011....
Financial planning
Two former industry players sentenced after action by the Australian Securities and Investments Commission....
Financial planning
The majority of advisers surveyed by Radar Results believe it is likely they will lose clients as a result of the opt in for continuing advice reform....
Financial planning
The former director of Power Financial Planning, who dealt in Westpoint products, has been sentenced to 12 months imprisonment....
Financial planning
A former Hobart planner has been charged with operating without an AFSL....
Life/Risk
Diversa has acquired a group life and salary continuance insurance business as part of its strategy to build on products and services for its partners and super fund memb...
Financial planning
Diversa has acquired a group life and salary continuance insurance business as part of its strategy to build on products and services for its partners and super fund memb...
Superannuation
The ongoing uncertainty over the accountant exemption applying to self-managed super funds (SMSFs) as well as a number of rules that simply don’t make sense are two...
Financial planning
Former Chartwell secretary Ian Rau has been sentenced to two years and seven months imprisonment on eight charges brought by ASIC....
Financial planning
ASIC has moved against what it believes is a Ponzi scheme that extracted $16 million from investors....
Superannuation
A new group has been established to help accountants get around the advice exemption changes for SMSFs without getting an AFSL....
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MARKET INSIGHTS
Podcast
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...
So we are now underwriting criminal scams?...