Search ResultsShowing 1 - 10 of 29 results for "CFPL"
Banks, ASIC still at war over fees-for-no-service
HARRISON WORLEY  |  TUESDAY, 12 MAR 2019
... be completed, while CBA indicated additional reviews of Count Financial, Financial Wisdom and the Pathways division of CFPL would continue. NAB's review of NAB Financial Planning and its associated remediation payments are due for completion by ...
KPMG expands advice remediation team
HARRISON WORLEY  |  TUESDAY, 26 FEB 2019
... entered in April last year for fees-for-no-service. The final report was set to determine whether the business had taken reasonable steps to remediate customers impacted by fees-for-no-service conduct and attest to CFPL's remediation efforts.
Commonwealth FP fails to meet EU obligations
JAMIE WILLIAMSON  |  MONDAY, 4 FEB 2019
... It is also barred from entering any new ongoing service arrangements with customers. Commonwealth Financial Planning (CFPL) failed to provide ASIC with an attestation and acceptable final report from Ernst & Young as part of the Enforceable ...
Bank-owned advice firm requests ASIC extension
DARREN SNYDER  |  MONDAY, 22 OCT 2018
... to complete a major report as part of its enforceable undertaking. ASIC said Commonwealth Financial Planning Limited (CFPL) recently requested an extension for Ernst & Young (EY) to produce its final report on the advice firm's remediation ...
CBA advice failures unacceptable: Comyn
DARREN SNYDER  |  FRIDAY, 13 APR 2018
... trading in October 2016. In a public statement, CBA said that in 2014 it identified and self-reported to ASIC that some CFPL and BWFA customers did not receive an annual review as part of the financial advice service package they paid for. CBA ...
Big 4, AMP fork out massive compensation bill
KARREN VERGARA  |  MONDAY, 18 DEC 2017
... $105 million in fees plus interest to affected customers by June 2017. In 2014, CBA's Commonwealth Financial Planning (CFPL) identified and reported to ASIC that some of its customers might not have received an annual review in paying for the ...
CBA responds to systemic advice failures
KERRIE SYDEE  |  FRIDAY, 28 OCT 2016
... interest will be completed by June 2017. In its response CBA highlighted that in 2014 Commonwealth Financial Planning (CFPL) self-identified and reported to ASIC that some customers might not have received an annual review with their advice ...
Banned former CBA planner charged with forgery
MARK SMITH  |  TUESDAY, 17 MAY 2016
... former representative of the Commonwealth Bank's financial planning subsidiary, Commonwealth Financial Planning Limited (CFPL). ASIC alleges that between 1 January 2007 and 13 June 2009, Gillespie forged the signatures of a number of the bank's ...
More CBA-aligned advisers under scrutiny
DARREN SNYDER  |  THURSDAY, 17 DEC 2015
Client files of an additional 17 advisers at Commonwealth Financial Planning (CFPL) and Financial Wisdom (FWL) are to be reviewed for potential inclusion in a compensation program. This is the key finding in KordaMentha Forensic's second report on ...
CBA publicly welcomes former staff bans
MARK SMITH  |  THURSDAY, 8 OCT 2015
... Bank has publicly welcomed the Australian Securities and Investment Commission's (ASIC) decision to ban former CFPL financial planners, Sharnie Kent and Stuart Jamieson. In a press release issued by the bank it said it reported concerns ...
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