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GUILTY
Financial planning
Wael Kourieh pleaded guilty to forging 30 member signatures on AMP superannuation investment election forms which would let him obtain financial advantage for himself via...
Financial planning
Ahmed Saad has pleaded guilty after operating a scheme to provide illegal early access to super for clients. ...
Financial planning
The firm has pleaded guilty to four counts of client money breaches, each carrying a maximum penalty of $45,000....
Financial planning
Pershing Securities Australia is the first company in the country to face criminal prosecution for breaching client money provisions....
Financial planning
Mark Damion Kawecki has pleaded guilty to two counts of dishonest conduct relating to meeting the minimum spread requirement to be listed on the Australian Securities Exc...
SMSF
George Nowak has pleaded guilty after investigations found he had misappropriated $1.2 million in self-managed superannuation fund monies. ...
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Podcast
The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...