Ezzat-Daniel Nesseim has been sentenced to a three-year intensive correctional order for engaging in dishonest conduct and providing falsified documents to ASIC....
Dr Roger Munro has been sentenced to four and a half years imprisonment after pleading guilty to three counts of fraud....
AUSTRAC has accepted an enforceable undertaking from NAB to uplift its compliance with Australia’s anti-money laundering and counter-terrorism financing laws....
Westpac has been ordered to pay penalties of $113 million for compliance failures in banking, superannuation, wealth management and insurance....
ASIC has suspended the Australian Financial Services (AFS) licence of Dixon Advisory & Superannuation Services Pty Limited....
Westpac-subsidiary BT Funds Management has been fined $20 million for incorrectly charging commission payments to certain superannuation fund members....
The Australian Securities and Investments Commission has banned Melbourne-based adviser Mark Christopher Babbage from providing financial services or engaging in credit a...
The Australian Securities and Investments Commission has confirmed 10 financial advice misconduct criminal cases are before the courts with six civil cases also yet to be...
The Australian Securities and Investments Commission has commenced surveillance into the marketing of managed funds following recent enforcement against fund managers mis...
The regulator has permanently banned former authorised representative, Roderick Halligan, from providing financial services for contravening financial services laws and f...
Financial advisers are being asked for feedback by the regulator on the Financial Services and Credit Panel....
Aware Financial Services Australia Limited has been ordered by the Federal Court to pay a $20 million penalty for charging over 25,000 customers fees for financial servic...
Not possible to coninue if the cost is given to remaining advisors ...
In Australia this was the country of a "Fair Go". This Government is using us. We need direct action and we need to figh...
I am reading a lot about the unfairness of CSLR, QAR etc etc and it is clear that there is massive inequity taking place...