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Showing 11 - 20 of 41 results for %22Dover Financial Advisers%22

ASIC flags post-RC criminal prosecutions

JAMIE WILLIAMSON  |  WEDNESDAY, 20 FEB 2019
... required. This is in addition to the actions already commenced against NAB's Nulis and MLC, as well as Dover Financial Advisers and Terry McMaster. Aside from the Royal Commission case studies, ASIC is also looking into a number of instances of misconduct ...

ASIC bans former NAB, CBA advisers

JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
... Financial Wisdom. Geappen was licensed by Financial Wisdom from 2008 to 2016. In December 2016 he joined Dover Financial Advisers before jumping to Synchron in May 2018. According to ASIC FAR, Geappen ceased as an adviser in October 2018. ASIC said it ...

Ten stories that defined the Royal Commission

HARRISON WORLEY  |  WEDNESDAY, 19 DEC 2018
... to decline the Royal Commission's request for assistance in identifying instances of misconduct, Dover Financial Advisers shocked the industry when it shut-down in June. Shortly after, the AFA set about lobbying the corporate regulator and Federal ...

ASIC takes Dover, McMaster to court

JAMIE WILLIAMSON  |  MONDAY, 17 SEP 2018
ASIC is taking Federal Court action against Dover Financial Advisers and Terry McMaster for allegedly misleading and deceiving clients. The corporate regulator commenced civil penalty action against the disgraced dealer group and its founder on September ...

Dealer groups lift due diligence post Dover

JAMIE WILLIAMSON  |  MONDAY, 17 SEP 2018
The sudden closure of Dover Financial Advisers saw a mad scramble by authorised representatives to secure alternative licensing arrangements. Hundreds were successful in doing so before the July 6 deadline, but latest ASIC Financial Adviser Register ...

Pressure mounts on regional advice

JAMIE WILLIAMSON  |  MONDAY, 23 JUL 2018
... cities across the Charter and Hillross dealer groups. Meanwhile, the beginning of July saw the cancellation of Dover Financial Advisers' AFSL. Publicly available records show more than 80 of its 400 financial advisers managed to transition to another ...

Advisers demand self-licensing regime: Poll

KARREN VERGARA  |  MONDAY, 16 JUL 2018
... ship is going to turn over and individual financial advisers are going to take control." The collapse of Dover Financial Advisers left more than 400 advisers in need of a new dealer group. It also reignited the debate of having a more straightforward ...

Dover advisers turn orphans

JAMIE WILLIAMSON  |  FRIDAY, 6 JUL 2018
While there are Dover financial advisers that have managed to transition elsewhere in recent weeks, latest ASIC data shows hundreds of advisers will be without a licensee when the disgraced AFSL shutters today. Rainmaker analysis of ASIC's Financial ...

Dover AFSL cancelled, McMaster exits industry

JAMIE WILLIAMSON  |  FRIDAY, 29 JUN 2018
ASIC has accepted a Court Enforceable Undertaking from Dover Financial Advisers and Terry McMaster will leave the financial services industry. ASIC confirmed the action resulted from an ASIC investigation which commenced in 2017, with a particular focus ...

Dover exit renews self-licensing calls

ALEX BURKE  |  MONDAY, 25 JUN 2018
The collapse of Dover Financial Advisers has left more than 400 advisers with a narrow 30-day window to sign on with a new licensee, renewing calls for a more straightforward self-licensing regime. It's unclear at this stage where those 400 advisers ...