ASIC pursues action against Pacific Blue Securities and obtains freezing orders....

Mortgage broking industry likely to adopt a fact finding and Statement of Advice process: Paratore....

FPA warns the Government of a double regulatory burden on planning firms as a result of the new National Consumer Credit Protection legislation....

The Australian Securities and Investments Commission’s submission to the Ripoll Inquiry has raised the stakes for the future of the financial planning industry but has al...

Financial services providers should not be allowed to appeal against the removal of their licence in cases of bad advice....

Banned from providing financial services for six years on matters relating to the operation of a private mortgage investment business....

One of Australia's largest financial planning dealer groups has told a parliamentary inquiry that there are "clear deficiencies" in ASIC's licensing process, while low ed...

ASIC has initiated multiple criminal charges against the former company secretary and a former director of a failed Geelong-based financial investment firm, Chartwell Ent...

A CPA Australia submission to the Joint Parliamentary Committee urges ASIC to get more proactive in utilising its powers against planning firms in circumstances where pro...

Count Financial announces a 9.1 per cent decline in profit and slams the need for PI, arguing it is being penalised for the mistakes of other AFSL holders who shouldn't h...

The Commonwealth Bank of Australia has named the corporate regulator, along with itself and Storm Financial, as one of the key stakeholders involved in the circumstances ...

IFSA defends legislative requirements but says areas of financial services regime could be improved....

Fund managers will need a passport to trade, while revamping AFSL regulations would impose further restrictions on the industry....

Small financial planning practices are struggling with the complex requirements and costs of running their businesses....