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ASIC
Financial planning
ASIC has banned a former AMP Financial Planning authorised representative from providing financial services for eight years after finding he had engaged in forgery and mi...
Financial planning
ASIC has banned a former Sentinel Private Wealth authorised representative from providing financial services for five years after he failed to comply with financial servi...
Financial planning
A former Queensland financial planner has been jailed for seven years on charges including forgery and fraud....
Superannuation
ASIC has pointed out that super funds which offer employers seats in their corporate boxes at major sporting events may be guilty of providing an illegal inducement. ...
Superannuation
Both APRA and ASIC have warned of considerable reputational damage to insurers and super funds if they do not turn talk of improvements into actions....
Financial planning
The AAT has stayed the ASIC banning of former financial adviser, Michael Spencer, for engaging in warrant price manipulation....
Financial planning
The financial advice industry could be expected to pay $24 million in levies to fund ASIC under the industry funding model, with much of it falling on personal advice pro...
Financial planning
ASIC has permanently banned Brisbane financial adviser, George Karakatsanis, from providing financial services for not acting in the best interest of his clients....
Financial planning
ASIC has banned Brisbane life insurance financial adviser, Christopher Young, for five years as he failed to act in his clients’ best interest....
Outsider
Outsider has some good news for financial planners and others regulated by ASIC — Peter Kell has admitted madly wasting money and resources....
Financial planning
ASIC has suspended the AFSL of Paramatta-based firm, Rural and General Insurance Broking, for failing to lodge financial statements....
Financial planning
ASIC has permanently banned former NSW financial adviser, Ashley Grant Howard, after a lengthy investigation....
Life/Risk
Macro Realty Group director, Desiree Macpherson, has consented to interim orders from ASIC obtained in a Perth Federal Court earlier this year....
Financial planning
ASIC has permanently banned a former Queensland authorised representative of an insurance product distributor after being sentenced for fraud and stealing....
Financial planning
ASIC has highlighted that AFSLs must have access to financial adviser records for the required period, while representatives must also keep records....
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This is why I left my last position. There was no interest in giving the client quality time, it was all about bumping ...
So the Hayne Royal Commission has left us with this. What a sad day for the financial planning industry. Clearly most ...