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| | | 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 ... |
| | | | ... executive Paul Tynan, who has described the Dover situation as a "perfect nightmare for our advice industry." He criticises ASIC for its narrow timeframe for licensing transitions in the wake of Dover's collapse and for ignoring that "Dover's former ... |
| | | | ... situation. The settlement includes a $5 million penalty, $15 million to a financial consumer protection fund and $5 million to ASIC for its litigation and investigation costs. FY18 bottom line is expected to take a hit from the $25 million settlement ... |
| | | | ... in a series of bans applied by the regulator, with the former adviser of a NAB-aligned licensee permanently banned by ASIC for withdrawing money from private client funds for personal and business expenses, to the tune of $1,951,000. The bans arrive ... |
| | | | ... Revenue and Financial Services Kelly O'Dwyer said ASIC deputy chair Peter Kell and commissioner John Price will remain at ASIC for one and two years, respectively. The reappointments come ahead of expected regulatory changes, O'Dwyer said. "A second ... |
| | | | A financial adviser licensed through Centrepoint Alliance's Professional Investment Services has been banned by ASIC for three years for incompetence. Ramana Rao of Metaplanners in South Australia was banned from providing financial services after it ... |
| | | | A former AMP adviser was permanently banned by ASIC for misappropriating almost $2.5 million of client funds. Over the course of nine years, Hobart-based Daniel Joseph Noonan stole $2,495,117 from 14 clients while operating as an authorised representative ... |
| | | | ... investigating serious contraventions of the Corporations Act 2001 unless another agency chooses to share such material with ASIC for the purposes of its (the other agency's) investigation. "It is important that ASIC is able to gain access to information ... |
| | | | A former Magnitude Group financial adviser was banned by ASIC for breaching the best interest duty introduced under the Future of Financial Advice reforms. Jason Sean Atkins of Perth is prohibited from providing financial advice for three years after ... |
| | | | ... Separately, the deadline for financial advisers to provide retail clients with a Statement of Advice was extended by ASIC for those providing urgent superannuation advice in preparation for next week's reforms. Advisers will now have an additional 30 ... |
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