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Showing 1 - 7 of 7 results for "Client Protection Policy"

Dover, McMaster hit with $1.4m penalty

KARREN VERGARA  |  FRIDAY, 5 MAR 2021
... based on 19,402 contraventions brought against it by ASIC - one contravention for each time the Dover Client Protection Policy at the root of the case was provided to a client. McMaster was ordered to pay $240,000 for his role as he "made all relevant ...

Dover, McMaster found guilty

JAMIE WILLIAMSON  |  FRIDAY, 22 NOV 2019
... Terry McMaster have been found guilty of false, misleading and deceptive conduct in relation to the Dover Client Protection Policy which formed the core of McMaster's Royal Commission testimony last year. The judge deemed the policy to be misleading ...

ASIC takes Dover, McMaster to court

JAMIE WILLIAMSON  |  MONDAY, 17 SEP 2018
... penalty action against the disgraced dealer group and its founder on September 12, in relation to its Client Protection Policy which was in place from September 2015 to March 2018. The period saw seven different iterations of the policy, which was provided ...

Dover advisers turn orphans

JAMIE WILLIAMSON  |  FRIDAY, 6 JUL 2018
... group - often referred to as a licensee of last resort - commenced in 2017 with a particular focus on its client protection policy. That client protection policy formed a large part of McMaster's grilling at the Royal Commission's inquiry into ...

Dover AFSL cancelled, McMaster exits industry

JAMIE WILLIAMSON  |  FRIDAY, 29 JUN 2018
... resulted from an ASIC investigation which commenced in 2017, with a particular focus on the dealer group's client protection policy. ASIC first raised its concerns with Dover on 22 March 2018 and, after further consideration, notified the dealer group ...

ROYAL COMMISSION: Our top stories

JAMIE WILLIAMSON  |  FRIDAY, 27 APR 2018
... roasted for 'Orwellian' protection policy The Royal Commission scrutinised Dover Financial Advisers' former client protection policy, demonstrating its essential purpose to be to exonerate the licensee of any liability in the event of misconduct by authorised ...

Dover roasted for 'Orwellian' protection policy

JAMIE WILLIAMSON  |  FRIDAY, 27 APR 2018
The Royal Commission scrutinised Dover Financial Advisers' former client protection policy, demonstrating its essential purpose to be to exonerate the licensee of any liability in the event of misconduct by authorised representatives. Counsel Assisting ...
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