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FINANCIAL ADVISER
Financial planning
Advisers who have taken a career break or a secondment by the end of 2021 will not be considered a new entrant when they wish to return to their adviser role but will hav...
Financial planning
The corporate regulator’s consultation found that limited advice is too costly to provide and there is a lack of demand for digital advice....
Financial planning
Licensees should not be responsible for individual financial adviser registrations to the corporate regulator as it makes clear these are a statutory obligation and not a...
Financial planning
Rahul Goel of AR Wealth and Finance in Western Australia has also been charged with three counts of false certification of documents....
Financial planning
Ahmed Saad has pleaded guilty after operating a scheme to provide illegal early access to super for clients. ...
Financial planning
There is plenty of competition between dealer groups to take advantage of the uncertainty which has accompanied IOOF’s acquisition of MLC Wealth by recruiting attractive ...
Financial planning
The corporate watchdog allege that AR Wealth and Finance financial adviser Rahul Goel acted dishonestly in relation to hardship and other applications to super funds on b...
Financial planning
David Horton was found to have given clients’ inappropriate advice to double gear their investments and did not consider their cashflow position or ability to cover margi...
Policy & Regulation
The full Federal Court has confirmed the directors of Storm Financial breached their duties, after the original judgement was handed down in August 2016....
Financial planning
Two very different surveys have confirmed that trust sits at the heart of good relationships between advisers and their clients....
Financial planning
Max Kiattisak Eung has been sentenced to jail after pleading guilty to obtaining financial advantage by deception of $166,500....
Financial planning
The corporate watchdog has alleged Keith James Flowers of using his position as director dishonestly and obtaining financial advantage by deception....
Features
Mike Taylor writes that scores of financial advisers will be left looking for new licensees in the wake of this month’s announcements by the Commonwealth Bank and AMP Li...
Policy & Regulation
The Australian Securities and Investments Commission has banned former Melbourne financial adviser Robert Michael for dishonestly borrowing money from his clients’ self-m...
Policy & Regulation
Former Adelaide financial adviser James Gibbs has been sentenced for 10 years imprisonment to theft and other dishonesty offences, totalling approximately $4.88 million....
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Podcast
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...