FINANCIAL SERVICES LICENCE
Financial planning
ASIC has obtained Federal Court orders freezing the assets of what it believes may be a Ponzi scheme....
Financial planning
ASIC has taken action against the unlicensed operators of 14 unregistered offshore managed investment funds who allegedly targeted Australian investors and self managed s...
Financial planning
ASIC has disqualified the former director of Concentric Financial Planning, Mark Travis Goldenberg, from managing corporations for five years....
Financial planning
Queensland man has jail conviction commuted to three-year good behaviour bond on Westpoint charges....
Financial planning
The director of Victorian-based company Ascension Financial Strategies, Charles Grummisch, has been banned from providing financial services for 10 years by ASIC....
Financial planning
Fleetwood Advisory Group director Steven Fleetwood has been banned from providing financial services for five years by ASIC following an investigation into his profession...
Financial planning
Members of industry superannuation funds have exhibited strong reluctance towards paying more than $500 for financial advice, according to HESTA executive manager Debbie ...
Financial planning
Paragem has extended its Australian Financial Services Licence (AFSL) service and compliance support to superannuation funds that are grappling with the grey area between...
Financial planning
ASIC has cancelled City Pacific’s Australian financial services licence as the company continues to wind up....
Financial planning
The former secretary of investment company Chartwell Enterprises, Ian Rau, has pleaded guilty to charges brought by the Australian Securities and Investments Commission (...
Financial planning
ASFA has supported amendment proposals made by the Government around borrowing in super arrangements....
Financial planning
The former director of the investment company Chartwell Enterprises, Graeme Hoy, has been committed to stand trial on charges brought by ASIC....
Accounting
The latest CPA Australia submission to the Cooper Review is arguing the case for accountants to be able to provide 'strategic' advice on SMSFs....
Financial planning
More than 1,000 investors have found themselves tied up in property development schemes that have been identified as illegal....
Financial planning
The Association of Independently Owned Financial Planners' status as an industry association is being questioned as it moves to revive an investment administration servic...
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Podcast
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...