Keith Ford

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Financial planning

08 Aug

First Guardian and Shield complaints mount up for Sequoia

Sequoia Financial Group has revealed the scale of complaints lodged with the Australian Financial Complaints Authority relating to its role in the Shield Master Fund and ...

Financial planning

04 Aug

Sequoia ramps up APL scrutiny with new committee

Danielle Press, a former ASIC commissioner, is to chair a new AFSL committee set up by Sequoia which seeks to improve governance practices and review its approved product...

Financial planning

01 Aug

CSLR consultation launched into $47 million special levy

The Treasury has launched a consultation into how the $47 million special levy for the Compensation Scheme of Last Resort will be funded....

Financial planning

22 Jul

ASIC sues Fortnum Private Wealth over alleged cyber security breach

ASIC is suing advice business Fortnum Private Wealth, a subsidiary of Australia’s largest licensee Entireti, for alleged cyber security failures which led to client data ...

Financial planning

21 Jul

Insignia plays waiting game with final PE bidder

The prospect of a takeover of Insignia Financial still remains up in the air as remaining bidder CC Capital bides its time on making a final offer....

Financial planning

04 Jul

CSLR revises down adviser levy

The Compensation Scheme of Last Resort has released the FY26 revised levy estimate, but the FAAA is concerned costs will be pushed into the following year....

Financial planning

03 Jul

Former Qld adviser receives 10-year ban

ASIC’s enforcement action is having an active start to the new financial year, banning a former Queensland financial adviser for 10 years in relation to fees for no servi...

Financial planning

02 Jul

First Guardian RE directors see travel restraints order imposed

The Federal Court has made interim travel restraint orders against two Falcon Capital directors, while also freezing one director’s assets....

Financial planning

01 Jul

Insignia Financial bidder mulls latest takeover offer

CC Capital, the last remaining player in the bid to acquire Insignia Financial, is still yet to finalise its offer, the firm has informed the market....

Financial planning

27 Jun

Court undertaking accepted from auditor linked to advice firm failure

ASIC has accepted a court enforceable undertaking from a Perth-based company auditor who failed to adequately conduct multiple audits on an advice firm that receivers say...