The funding of consumer submissions by the Australian Securities and Investments Commission’s Consumer Advisory Panel warrants greater scrutiny of the regulator and its a...

The Australian Securities and Investments Commission has seen a “significant escalation” in complaints about unlicensed operators providing financial product advice witho...

The corporate regulator has commenced proceedings against Sydney-based derivatives provider Union Standard International Group over illegal Chinese activities....

Advisers providing "strategic advice” or financial coaching should be subject to the same regulatory obligations as other advisers, according to the Financial Planning As...

The standing aside of Australian Securities and Investments Commission chair, James Shipton, points to fundamental issues with respect to the regulator....

The Queensland property developer has been found guilty of six counts of self-managed super fund fraud totalling $345,000, having initially arrested back in 2017....

The COVID-19 pandemic could act as the catalyst for regulatory pragmatism aimed at lowering the cost of advice, according to the Financial Services Council....

Shares in Facebook have risen 25% since the start of 2020 but every company that has a similar growth profile as the social network is trading higher, according to Capita...

Victorian financial advisers impacted by the COVID-19 lockdowns can rely on a “no action” position on the part of the Australian Securities and Investments Commission wit...

National Australia Bank super entities NULIS and MLC Nominees have been hit by Federal Court penalties out of an Australian Securities and Investments Commission action o...

Financial services companies cannot necessarily rely on claims of legal privilege to prevent the Australian Securities and Investments Commission obtaining documents – so...

Former investment analyst, Michael Ming Jinn Ho, has been sentenced to three years imprisonment for insider trading in Bing Un Limited shares....

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...

The corporate regulator has obtained an interim injunction against Mayfair 101 managing director, James Mawhinney....