Working to the FPA’s code of practice would not necessarily stop clients complaining about advice, Maynard said, but in Melbourne she told the ... [more]
The Australian Securities and Investments Commission (ASIC) has released guidelines on how signing up to a professional code can, in theory, exempt advisers ... [more]
Independent financial advisers have welcomed the Australian Securities and Investments Commissions (ASIC) crackdown on the use of the word “independent”. The regulator has ... [more]
A Sydney-based financial planning business has had its licence suspended for three months and a Victorian broker has been banned from providing financial ... [more]
Associations hoping their professional codes of practice meet with regulatory approval and qualify members for exemption from some aspects of financial advice reforms ... [more]
A financial services representative from Athelstone in Adelaide has offered an enforceable undertaking (EU) to ASIC to permanently stop providing financial services. [more]
Former Trio Capital director John Godfrey has likened his stint at the helm of the failed company to walking into a car crash ... [more]
Compensation payments to more than 5300 superannuation fund members with investments in the Trio Capital Limited (Trio) managed investment scheme, the Astarra Strategic ... [more]
ASIC has accepted an enforceable undertaking from the former operator of the ARP Growth Fund (ARP), permanently preventing him from working in the ... [more]
ASIC has accepted an enforceable undertaking from a former Commonwealth Financial Planning Limited (CFP) employee after he failed to meet various obligations as ... [more]