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Showing 21 - 30 of 61 results for "Dover"

ASIC bans RC case study adviser

HARRISON WORLEY  |  TUESDAY, 12 MAY 2020
... with a Statement of Advice or appropriate fee disclosure statements in a timely manner. Harris, a former Millennium3 and Dover authorised representative, was the subject of a Royal Commission case study, which saw advice he provided to clients as a Millennium3 ...

500 advisers exit during COVID-19

ELIZABETH MCARTHUR  |  THURSDAY, 23 APR 2020
... to 305. Charter Financial and National Australia Bank lost 19 advisers each. Consilium, which had picked up a number of Dover and Spectrum advisers after the shuttering of those AFSLs following regulatory action, lost seven advisers. It is now down to ...

Former licensee boss banned

JAMIE WILLIAMSON  |  TUESDAY, 11 FEB 2020
... Following its closure, more than 30 of its advisers transitioned to Consilium Advice - an AFSL established by a number of former Dover advisers with the help of Schroeder, Financial Standard understands. Banning him for six years, ASIC said that as the ...

Dover, McMaster found guilty

JAMIE WILLIAMSON  |  FRIDAY, 22 NOV 2019
The Federal Court has found Dover Financial Advisers and Terry McMaster guilty in the case brought against them by ASIC. In a judgement handed down on Friday, Dover Financial Advisers and Terry McMaster have been found guilty of false, misleading and ...

ASIC prepares to be primary super conduct regulator

ELIZABETH MCARTHUR  |  THURSDAY, 12 SEP 2019
... and matters within the Office of Enforcement. It specifically mentioned court action ASIC has taken against Select AFSL, Dover and NAB as a result of the Royal Commission. ASIC chair James Shipton said: "As we have seen in recent weeks, a number of those ...

Former Dover, Securitor adviser banned

ELIZABETH MCARTHUR  |  THURSDAY, 18 APR 2019
An adviser formerly licenced by Dover Financial Advisers has been banned for failing to provide advice in the best interest of clients. Peter Anthony Chigwidden has been banned for five years following an ASIC investigation. Chigwidden licensed by Dover ...

Former Financial Wisdom adviser banned

KARREN VERGARA  |  THURSDAY, 21 MAR 2019
... years for life insurance churning. 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 ...

ASIC flags post-RC criminal prosecutions

JAMIE WILLIAMSON  |  WEDNESDAY, 20 FEB 2019
... investigation is 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 ...

ASIC bans former NAB, CBA advisers

JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
... information received from 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 ...

Ten stories that defined the Royal Commission

HARRISON WORLEY  |  WEDNESDAY, 19 DEC 2018
... leadership of chair David Murray and chief Francesco De Ferrari with significant work ahead of them. Industry responds to Dover shutdown After a Royal Commission appearance that saw it revealed as the only large scale financial advice licensee to decline ...