Morningstar has paid $29,820 to comply with two infringement notices issued by ASIC in which ASIC alleged its investor funds were exposed to controversial weapons

The Administrative Appeals Tribunal (AAT) has upheld ASIC’s decision to disqualify Ms Janette Townshend from being an approved self-managed superannuation fund (SMSF) auditor for breaching

RACQ Insurance Limited (RACQ), has been ordered to pay a $10 million penalty by the Federal Court for potentially misleading customers in its product disclosure

Sole director of Equitable Financial Solutions Pty Ltd, Usman Siddiqui, of Brighton-Le-Sands, NSW has appeared in the Downing Centre Local Court charged with breaches of

ASIC has cancelled the Australian financial services (AFS) licence of Remi Investment Services Pty Ltd (RIS). The licence was cancelled because RIS is no longer

Fong Financial Planners Pty Ltd has been convicted and sentenced in the District Court of Western Australia for three counts of dishonest conduct while carrying

The Federal Court has ordered superannuation trustee OnePath Custodians Pty Ltd (OnePath) to pay a $5 million penalty for making false or misleading representations about

ASIC has released Information Sheets 276 and 277 to provide guidance to financial advisers and AFS licensees about the new requirement for financial advisers to

Ms Yat Nam (April) Yuen, of Sydney, New South Wales, has been charged with aiding and abetting former stockbroking firm BBY Limited (BBY) to engage

Geoffrey Anthony Shannon, of Port Macquarie, NSW, has been found not guilty of managing a corporation while disqualified. The Southport Magistrates Court delivered its decision