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2.19 – ASIC’s Senior Executive responsible for Financial Advisers testifies at the Royal Commission

Views  7  Likes  0  Dislikes  0  Published  December 29, 2020, 3:02 pm
Louise Macaulay, senior executive responsible for financial advisers at the Australian Securities and Investments Commission (ASIC), is being questioned over ASIC's reluctance to use its powers to punish rogue financial advisers, revealing that the regulator had criminally prosecuted just one holder of an Australian Financial Services Licence in the past 10 years and had launched civil action against a licencee just six times.

Recorded on 27 April 2018 at the Owen Dixon Commonwealth Law Courts Building in Melbourne.

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Finance Guide, Cropped Top and Bottom
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