Powered by
MOMENTUM
MEDIA
POWERED BY MOMENTUM MEDIA
REGULATION
Policy & Regulation
Financial services companies cannot necessarily rely on claims of legal privilege to prevent the Australian Securities and Investments Commission obtaining documents – so...
Policy & Regulation
Former investment analyst, Michael Ming Jinn Ho, has been sentenced to three years imprisonment for insider trading in Bing Un Limited shares....
Expert Analysis
Working as a director in financial services can come with regulatory risk, writes David Court, so it is important to know how to manage those responsibilities and avoid a...
Policy & Regulation
The corporate regulator has obtained an interim injunction against Mayfair 101 managing director, James Mawhinney....
Financial planning
The Financial Planning Association has used an updated pre-Budget submission to urge the Government to roll functions of the Financial Adviser Standards and Ethics Author...
Funds management
The corporate regulator has offered regulatory relief for initial public offerings following public consultation....
Editorial
Too many Governments have looked for quick fixes where financial adviser regulation is concerned and it is time for an audit and the removal of costly and unnecessary lay...
Policy & Regulation
The Australian Securities and Investments Commission has announced it has registered an amending instrument to specify an end date for three COVID-19 related instruments....
Financial planning
An article written by a Sydney lawyer has warned that financial advice is in danger of market failure because it has been the subject of significant legislative over-reac...
Policy & Regulation
A new litigation funding inquiry is to begin by the Parliamentary Joint Committee on Corporations and Financial Services to shine a light on the practices of lawyers. ...
Policy & Regulation
A Queensland financial adviser has pleaded guilty to dishonestly using around $1.1m of client money for his own use. ...
Policy & Regulation
Implementation of the key financial products design and distribution obligations has been deferred until well into the second half of next year....
Policy & Regulation
Scott Morrison, a former director at Olive Financial Markets, has been banned by the Australian Securities and Investments Commission for seven years for failing to act i...
Financial planning
The checking mechanisms employed by the Australian Securities and Investments Commission prevented a licensee from employing a currently banned adviser....
People & Products
Phil Creswell has been appointed head of professional standards by Count Financial....
Never miss the latest news and developments in wealth management industry
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?...