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Showing 51 - 60 of 1665 results for "Register"

Largest managers' assets climb 9.4%: Research

ANGELIQUE MINAS  |  TUESDAY, 11 NOV 2025
The Thinking Ahead Institute (Thinking Ahead) published the 2025 World's largest asset managers report. The research indicated a continued recovery for the asset management industry with the value of total assets under management (AUM) at 500 of ...

ASIC releases new ETP guide amid booming market

KARREN VERGARA  |  MONDAY, 10 NOV 2025
ASIC has released a new regulatory guide for exchange-traded products (ETPs) to help participants comply with their obligations in a booming market. RG 282: Exchange-traded products targets issuers, responsible entities and market operators. In the ...

Number of AFSLs plateaus: Rainmaker

ELIZA BAVIN  |  MONDAY, 3 NOV 2025
At end September 2025 there were 15,446 ASIC-registered financial advisers in Australia, according to the Rainmaker Financial Adviser report. Over the year to September, there was a decrease of 71 advisers, with 10 leaving the industry in the September ...

APRA to rejig non-traditional service providers framework

KARREN VERGARA  |  FRIDAY, 31 OCT 2025
... and managing third-party risks provided by material service providers. On October 1, super funds were asked to submit a register of material service providers (MSPs) to APRA and will do so annually. KPMG says that CPS 230 has five key themes: preparedness ...

ASIC reveals findings from reporting and audit surveillance

ELIZA BAVIN  |  FRIDAY, 31 OCT 2025
ASIC has released the findings from its financial reporting and audit surveillances for the 12 months to 30 June 2025, after reviewing 254 companies. Report 819 ASIC's oversight of financial reporting and audit 2024-25 outlined findings from company ...

UGC auditor 'comprehensively failed', registration stripped

JAMIE WILLIAMSON  |  MONDAY, 27 OCT 2025
The man responsible for auditing United Global Capital and its two managed funds has had his company auditor registration torn up after he was found to have 'continuously failed to undertake basic audit work' that could have saved millions in SMSF investors' ...

APRA updates governance framework

ELIZA BAVIN  |  FRIDAY, 24 OCT 2025
The Australian Prudential Regulation Authority (APRA) has provided an update on its consultation to modernise the prudential framework on governance for superannuation trustees, banks and insurers. In March, APRA proposed eight measures to update its ...

Adviser banned after $11.3m loss

ELIZA BAVIN  |  WEDNESDAY, 22 OCT 2025
... make public its decision to ban Northcott. Northcott's banning has been recorded on ASIC's Banned and Disqualified register.

ASIC slaps MWL adviser with ban over Shield involvement

MATTHEW WAI  |  WEDNESDAY, 22 OCT 2025
... financial services-related functions for eight years. Spooner's ban has been recorded on the Banned and Disqualified Register. He is just the latest MWL financial adviser to be banned, following the earlier suspension of four advisers in July. On August ...

Feature: Compliance | Passing the buck

ELIZA BAVIN  |  WEDNESDAY, 15 OCT 2025
The retirement savings of thousands of Australians have been lost in the First Guardian and Shield failures and, while investigations are ongoing, the blame for their collapse and the misconduct that led to it is being passed around like a football ...