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ASIC ends Macquarie EU but sees gaps in advice files

Macquarie Equities Limited advice files have gaps and require further testing, the Australian Securities and Investments Commission (ASIC) said as the two year enforceable undertaking (EU) into the organisation's advice arm comes to an end.

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Read more: ASICKPMGAustralian SecuritiesInvestments CommissionMacquarie Equities Limited advice filesMPWMacquarie EUPeter KellFinancial PlanningKMPGMacquarie Private WealthRegulatory