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ASIC
Financial planning
A financial planning practice within Charter Financial Planning has paid $10,200 penalty after ASIC found it made misleading representations in an article on its website....
Financial planning
Property spruiker to face court after ASIC finds payments of $431,000 to company accounts. ...
Financial planning
Planners will pay more than $40 each to be recorded on the new ASIC adviser register with initial fees set to cost the planning sector more than $750,000....
Financial planning
A Melbourne man has pled guilty to conspiring to defraud financial institutions with false home loan documents....
Financial planning
Gold Coast financial planning and property management group hit by ASIC penalty for false and misleading advertising....
Financial planning
Employers and businesses must attain verification at the source for educational and employment background of advisers for the national register of advisers to be reliable...
Life/Risk
ASIC is urging insurers to improve their consumers’ understanding of what their no-claims discount scheme offer....
Equity Trustees Limited and Como Financial Services have each paid penalties of $20,400 over “potentially misleading” information....
Financial planning
ASIC has banned a Queensland based financial adviser from providing financial services for five years for misleading conduct and inappropriate advice....
Financial planning
ASIC may take enforcement action against individual financial planners who provided advice on complex products after 10 licensees have been involved in taking corrective ...
Financial planning
ASIC banned former Provident Capital MD from managing corporations for five years and providing financial services for seven years....
Financial planning
ASIC has released updated guidelines regarding Enforceable Undertakings (EU) stating it would provide further details as to the level of compliance attained by groups iss...
Financial planning
ASIC deputy chairman, Peter Kell, says the regulator is not yet facing a rush by accountants to be licensed....
Accounting
A Gold Coast accountant will serve an eight month sentence by way of an intensive correction order, after pleading guilty to misleading ASIC....
Financial planning
Macquarie Group will compensate 80 clients, or around 13 per cent of cases reviewed in its client remediation work, but more may follow....
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So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...