BAN

Financial planning

The AAT has stayed the ASIC banning of former financial adviser, Michael Spencer, for engaging in warrant price manipulation....

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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....

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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....

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Financial planning

Former Equititrust CEO, Mark McIvor, remains permanently banned from providing financial services....

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Life/Risk

The Government should ban sales commissions on life insurance to better protect consumers, Industry Super Australia said....

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Life/Risk

It is vital to have a better understanding of the underlying drivers behind the variations in the claims handling process of insurance, AIST believes....

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Financial planning

ASIC has permanently banned a Tasmanian adviser from providing financial services due to false information in relation to his qualifications....

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Financial planning

A former Allianz financial adviser has been sentenced to five years' imprisonment, while ASIC has permanently banned her after she was caught allegedly stealing clients’ ...

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Financial planning

ASIC has permanently banned a former AMP financial planner after he was found to have prioritised his own interests over that of his clients....

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Financial planning

ASIC cancelled The Sharemarket College’s AFS licence and banned its responsible managers from providing financial services for making misleading claims....

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Policy & Regulation

ASIC has banned two former Macquarie advisers for poor advice and lack of compliance as part of its Wealth Management Project. ...

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Financial planning

ASIC has banned a former Macquarie Equities Limited representative from providing financial services for five years for inappropriate advice and engaging in unauthorised ...

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Financial planning

The decision to permanently ban adviser, Shiv Sahay, has been upheld by the AAT as his conduct involved deliberate and repeated action to provide false information....

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Financial planning

ASIC has banned a NSW property spruiker from providing financial services for four years for unlawfully advising clients to invest in property through their SMSFs without...

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Financial planning

The AAT has reduced the banning term imposed by ASIC for a former Sydney-based financial adviser of Lionsgate Financial Group, Atish Prasad....

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MARKET INSIGHTS

GG

So shareholders lose a dividend plus have seen the erosion of value. Qantas decides to clawback remuneration from Alan ...

3 weeks 3 days ago
Denise Baker

This is why I left my last position. There was no interest in giving the client quality time, it was all about bumping ...

3 weeks 4 days ago
gonski

So the Hayne Royal Commission has left us with this. What a sad day for the financial planning industry. Clearly most ...

3 weeks 4 days ago

The decision whether to proceed with a $100 million settlement for members of the buyer of last resort class action against AMP has been decided in the Federal Court....

1 week 3 days ago

A former Brisbane financial adviser has been found guilty of 28 counts of fraud where his clients lost $5.9 million....

3 weeks 3 days ago

The difference between a Record of Advice and Statement of Advice is the crux of the FSCP’s latest determination against a relevant provider. ...

3 weeks 6 days ago