ASIC is extending the date by which relevant providers – financial advisers who provide personal advice to retail clients on relevant financial products (including time
The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) today issued their Autumn 2023 Joint Committee Report on risks and vulnerabilities in the
ASIC has released exam results from the 22nd Financial Advisers Exam cycle, held in August 2023. The exam has been continuously conducted by the Australian
In a review of later life mortgage firms, the Financial Conduct Authority has worked with the largest firms to improve their advice processes and prompted
ASIC has released Consultation Paper 372 Guidance on insolvent trading safe harbour provisions: Update to RG 217 seeking feedback on our proposed updates to Regulatory
The FCA found that between June 2015 and December 2017, Mr Dickinson provided pension transfer advice, which Mr Allen signed off, that was unsuitable. Mr
Firms approving financial marketing for unregulated firms will have to demonstrate they have the necessary skills and expertise to approve adverts. Those signing them off
A registered company auditor will not be able to audit companies until 2024 after the Companies Auditors Disciplinary Board (CADB) found he failed to meet
ASIC has disqualified former electrical services director Sam Casella, of Bossley Park, NSW, from managing corporations for the maximum period of five years due to
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