EMMA RAPAPORT  |  MONDAY, 27 MAR 2017   12:41PM
ASIC cancelled the Australian financial services licenses of two financial services companies for failure to comply with a number of key obligations.
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Former adviser cops ASIC reprimand
JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017   12:20PM
A former Macquarie Equities Limited adviser agreed to not provide financial services for four years as part of an enforceable undertaking by ASIC.
Barclays fined following ASIC investigation
JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017   12:10PM
ASIC accepted enforceable undertakings from three Barclays foreign financial service providers for failing to inform Australian clients they were exempt from holding an AFSL.
CommInsure cleared of medical misconduct
ALEX BURKE  |  THURSDAY, 23 MAR 2017   12:36PM
ASIC's investigation into CommInsure found no evidence of claims managers applying pressure on medical staff to change assessments, although the regulator said claims handling fell short of community expectations.
ASIC permanently bans Queensland adviser
KARREN VERGARA  |  THURSDAY, 23 MAR 2017   12:20PM
The Australian and Securities and Investment Commission permanently banned a former Anne Street Partners financial planner for engaging in deliberate acts of dishonesty.
Crowdfunding legislation gets greenlight
KARREN VERGARA  |  WEDNESDAY, 22 MAR 2017   12:31PM
The newly passed equity crowdfunding legislation will give businesses unprecedented access to alternate sources of capital - an opportunity many have been waiting for, according to FinTech Australia.
Future retirement products aided by tax exclusions
JAMIE WILLIAMSON  |  TUESDAY, 21 MAR 2017   12:44PM
The Federal Government's latest development of regulation for new retirement income streams is now open for public consultation.
Adviser contravenes FoFA obligations
EMMA RAPAPORT  |  MONDAY, 20 MAR 2017   12:37PM
A Melbourne based financial advice provider is to appear in the Federal Court of Australia for alleged contraventions of the Future of Financial Advice obligations.
Major ASIC project finds serious financial advice concerns
ALEX BURKE  |  FRIDAY, 17 MAR 2017   1:09PM
ASIC has released a report on how large financial advice firms have addressed serious conduct, compliance and customer remediation issues, revealing serious concerns about how the industry has operated over the past five years.
Credit Suisse fined for systems mishap
KARREN VERGARA  |  THURSDAY, 16 MAR 2017   12:45PM
Investment bank Credit Suisse was slapped with a $170,000 fine from the Australian Securities and Investment Commission for failing to have the appropriate price limits in place across its automated order processing (AOP) systems.
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KARREN VERGARA  |   12:30PM
BT Financial Group confirmed its chief investment officer left the company "effective immediately."
KARREN VERGARA  |   12:25PM
Franklin Templeton Investments has launched its global online training portal for advisers in the Australian market.
EMMA RAPAPORT
Industry super thought leaders have urged the sector to harness the power of the collective and collaborate more closely on problem solving to ensure longevity and continued member engagement.
ALEX BURKE
Citi is expanding its wealth management business with four new hires.
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