Search Results | Showing 101 - 110 of 375 results for "auditor" |
| | | The former head of compliance and professional standards at IOOF has joined the leadership team of Count Financial. Phil Creswell joins Count Financial as its new head of professional standards from April 14. Creswell previously worked with Countplus ... |
| | | | ... comply with financial services laws and its own AFSL conditions. The company failed to lodge annual financial reports and auditor reports for 2017, 2018 and 2019. Finally, a Queensland financial planning and stockbroking firm FS Securities had its licence ... |
| | | | ... jurisdiction. ASIC said the investigations related to directors' and officers' breaches, insider trading and market manipulation, auditor and liquidator breaches, and breaches of licensing obligations, including Australian financial services license ... |
| | | | ... non-lodgement of tax returns by SMSFs, the top 100 SMSFs and tax planning, the top 100 auditors, high risk auditors and SMSF Auditor Number misuse. Non-lodgement among SMSFs, she explained, was an issue because it is correlated to illegal early release ... |
| | | | ... Association's annual conference turned to the ATO's recent efforts to stamp out SMSFs lying about audits and misusing auditor numbers. Super Sphere director Belinda Aisbett, Elite Super director Katrina Fletcher and ATO director Kellie Grant ... |
| | | | ... and otherwise not being a fit and proper person." Philip Shugg from Victoria has been disqualified from being an SMSF auditor for "not being a fit and proper person" noting that he was bankrupt. Greg Marlow from the Northern Territory have been suspended ... |
| | | | A Sydney-based financial adviser has been permanently banned for allegedly transferring client SMSF funds to the trust account of a business she controlled. ASIC has permanently banned Sydney adviser Tram Tran, after it found the funds of her clients ... |
| | | | ... approximately 2491 applications in 2018-2019 - 64% of AFS licences, 27% for credit licences and 9% relating to professional auditor registrations. In the report, ASIC said: "We approved 327 new AFS licences and varied 495 AFS licences, of which 467 were ... |
| | | | ... lodge it's accounts and audit report as a licensee for the year ending 30 June 2018, lodge reports or compliance plan auditor reports for the registered managed investment schemes it operates or notify ASIC of changes to its external dispute resolution ... |
| | | | ... case' - and Baumgartner cases saw the individual SMSF auditors "left to carry the can" when investments failed. "As the auditor, they had the professional obligation to ensure the investment strategy was satisfactory," Dunn explained. If ever in ... |
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