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Showing 1 - 10 of 12 results for "MyPlanner"

ASIC bans Queensland financial adviser

ELIZA BAVIN  |  WEDNESDAY, 20 MAR 2024
... he is likely to contravene financial services law in future". Prior to Octillion Partners, Rose was licensed through MyPlanner Professional Services and was not able to provide advice on SMSFs. According to the ASIC Financial Adviser Register, while ...

Former adviser hit with three-year ban

KARREN VERGARA  |  FRIDAY, 4 JUN 2021
... clients' best interests copped a three-year ban from the regulator. Brisbane-based Nathan Smith was a representative for MyPlanner Professional Services and Total Financial Solutions Australia. ASIC investigated Smith's conduct during his employment ...

Dealer group AFSL in limbo

ALLY SELBY  |  THURSDAY, 23 APR 2020
The suspension of MyPlanner Professional Services' AFSL is on ice as the Administrative Appeals Tribunal reviews ASIC's decision. It comes after the corporate watchdog suspended the advisory firm's AFS licence on February 12 on the grounds ...

ASIC cancels slew of AFSLs

JAMIE WILLIAMSON  |  FRIDAY, 3 APR 2020
ASIC has cancelled the AFSLs of three firms, including that of former advice dealer group MyPlanner. The regulator has cancelled the Australian financial services licence of the licensee formerly known as MyPlanner Australia. The Gold Coast-based licensee ...

Former MyPlanner adviser fails best interests test

JAMIE WILLIAMSON  |  WEDNESDAY, 5 SEP 2018
The corporate regulator has accepted an enforceable undertaking from a former MyPlanner financial adviser for failing to act in the best interests of his clients. Wollongong-based adviser James Phillip Allen is prohibited from providing financial services ...

AFA to launch investigation into adviser misconduct

JAMIE WILLIAMSON  |  FRIDAY, 22 DEC 2017
... membership," Kewin said. On Tuesday, 19 December, the regulator announced it had accepted an enforceable undertaking from MyPlanner Professional Services adviser, James Fraser. Just two days later, it announced it had also accepted the same from Christopher ...

ASIC takes further action against MyPlanner

JAMIE WILLIAMSON  |  WEDNESDAY, 20 DEC 2017
Following on from ASIC's recent action against privately-owned MyPlanner, one of the dealer group's advisers has now agreed to refrain from providing financial services. The regulator has accepted an enforceable undertaking from James Fraser as a result ...

MyPlanner enters ASIC radar

JAMIE WILLIAMSON  |  WEDNESDAY, 6 DEC 2017
Privately-owned dealer group MyPlanner has negotiated additional conditions on its AFSL after it was found to be providing poor financial advice and failing to adequately supervise its representatives. ASIC surveillance found there were MyPlanner advisers ...

MyPlanner inks deal with tech provider

JAMIE WILLIAMSON  |  FRIDAY, 11 AUG 2017
Independent financial advice licensee MyPlanner has become the first dealer group to partner with PractiFI. As part of the dealer group's business-wide technology transformation strategy, MyPlanner and its adviser network will now use PractiFI's solution ...

MyPlanner streamlines back-office for 175 advisers

ALEX BURKE  |  WEDNESDAY, 15 JUN 2016
MyPlanner has debuted its new end-to-end back-office solution for its network of 175 financial planners. Following a pilot program, the new system has been rolled out to the entire MyPlanner network: it provides statement of advice templates, document ...
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