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Showing 21 - 30 of 52 results for "Audit report"

ASIC cracks down on 42 SMSF auditors

ALLY SELBY  |  THURSDAY, 20 AUG 2020
The corporate watchdog has cancelled the registrations of 36 self-managed super fund auditors, while conditions have been imposed on a further six. It comes after ASIC found a number of SMSF auditors had not maintained an appropriate level of audit ...

ASIC cancels two AFSLs

ELIZA BAVIN  |  MONDAY, 1 JUN 2020
ASIC has cancelled the Australian financial services licenses of Western Australia-based, Personal Risk Management and Melbourne-based Australian Golden Securities ASIC said Personal Risk's cancellation took effect on 21 May 2020, after the company ...

ATO clamps down on auditor number misuse

ELIZABETH MCARTHUR  |  THURSDAY, 20 FEB 2020
An auditing discussion at the SMSF 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 ...

SMSF auditors in firing line

ELIZA BAVIN  |  FRIDAY, 14 FEB 2020
... arm's-length basis, and compliance with personal use and collectable asset rules. The regulator said he also issued an audit report in an incorrect form, and did not obtain signed financial statements. John Redenbach, Lenneke Serjeant and Darren Tappouras ...

ASIC suspends Melbourne-based AFSL

ELIZA BAVIN  |  WEDNESDAY, 11 DEC 2019
... regulator said Australian Golden Securities, formerly AFS Capital Securities, has failed to 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 ...

Queensland-based AFSL suspended

ELIZABETH MCARTHUR  |  TUESDAY, 10 SEP 2019
... meeting its obligations as a licensee. The regulator said Financial Options Pty Ltd failed to lodge its accounts and audit report for the year ending 30 June 2018, have a dispute resolution system and maintain organisational competence or the resources ...

ASIC moves against SMSF auditor misconduct

HARRISON WORLEY  |  TUESDAY, 23 JUL 2019
... with his CPD requirements according to ASIC. Finally, Geoffrey Wood was disqualified for signing an inappropriate audit report and failing to provide audit files to the ATO on time despite multiple requests. In addition to the three disqualifications ...

AUSTRAC zeroes in on Afterpay

HARRISON WORLEY  |  MONDAY, 17 JUN 2019
... Afterpay would pay for the audit, with the extent of its determination to be decided by the regulator. A preliminary audit report is required by the regulator within 60 days.

Australian fund caught in email scandal

ELIZABETH MCARTHUR  |  FRIDAY, 12 APR 2019
... officer is a former chief operating officer of JP Morgan Chase Australia. The findings, released in a performance audit report on the fund conducted by the Auditor General, show the NAIF failed to implement a proper Protective Security Policy framework. ...

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 ...