ADMINISTRATIVE APPEALS TRIBUNAL

Financial planning

Former adviser, Jim Pavlidis has been banned for three years after a review of his advice showed he failed to provide financial advice in the best interest of his clients...

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Financial planning

The corporate regulator’s ban on Perth self-managed super fund adviser Wayne Blazejczyk has been upheld by the Administrative Appeals Tribunal....

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Policy & Regulation

ASIC has banned Sydney adviser Tarandeep Aujla from providing financial services for three years for failing to act in his clients’ best interest....

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Policy & Regulation

An appeal by Sydney lawyer and accountant Yingjie Wang against his permanent banning from providing financial services has been dismissed by the Federal Court of Australi...

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Accounting

The Administrative Appeals Tribunal has rejected an application by a former tax agent to stay a Tax Practitioners Board decision to terminate his registration with the ma...

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Superannuation

The Administrative Appeals Tribunal has upheld a decision to refuse Superannuation Warehouse’s application for a limited Australian financial services licence, after its ...

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Policy & Regulation

Two former Macquarie advisers have seen their banning periods by the Australian Securities and Investments Commission reduced, following an appeal to the Administrative A...

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Financial planning

A Hobart financial planner who was not sufficiently trained, despite holding a Diploma of Financial Planning from Kaplan, or competent to provide financial services has b...

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Policy & Regulation

Having an unblemished record as a chartered accountant is not justification in itself for being granted an Australian Financial Services License, according to the Adminis...

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Financial planning

The Australian Securities and Investments Commission has permanently banned Victorian financial planner, Ahmed Saad of Glenroy, from providing financial services....

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Policy & Regulation

The securities regulator has banned Yossef Ashkenazi of Victoria from providing financial services for a period of eight years....

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Policy & Regulation

The Tax Practitioners Board has revealed it currently has around 400 current investigations into tax practitioners, as the Federal Court upholds its decision to ban a for...

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Financial planning

The AAT has granted a stay of a permanent ban of a former RI Advice Group adviser after finding the adviser had not acted dishonestly in the intervening five years since ...

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Financial planning

ASIC has banned Roan Financial Group’s Darren Tindall from providing financial services for five years after the FPA received a complaint against him for dishonest conduc...

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Financial planning

A tax agent’s termination following six tax offences for lodge failures and non-compliance has been affirmed by the AAT....

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