ASIC has given ongoing relief exempting trustees of wholesale equity schemes from having to hold an Australian financial services (AFS) licence to ...

Provisional liquidators were appointed yesterday to two Townsville based companies, Understanding Retirement Pty Ltd and N.F. & J.M. Dodd & ...

ASIC has released a report outlining its decisions on applications for relief from the corporate finance, financial services and managed investment ...

ASIC today issued an update of Regulatory Guide 108 No-action letters (RG 108). A no-action letter is an expression of ASIC’s regulatory intent and ...

On Monday 30 June 2008, ASIC commenced new proceedings against the directors of Westpoint companies for compensation of breach of directors duties. ...

ASIC today released consultation papers and draft regulatory guides aimed at improving disclosure to retail investors by unlisted mortgage schemes ...

ASIC signed a ‘declaration of mutual recognition’ today with the Hong Kong Securities and Futures Commission (SFC) to facilitate the sale of retail ...

ASIC has permanently banned former Melbourne financial adviser, Mr David Lee Harwood from providing financial services. Mr Harwood operated The ...

ASIC has today released a revised version of Regulatory Guide 16 External administrators: Reporting and lodging (RG 16). This publication provides ...

A Tasmanian-based company and its director have been restrained from providing financial product advice for ten years following action taken by ASIC. ...