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Showing 1 - 2 of 2 results for "Mr Chong"

ASIC ban upheld, investment banker jailed

KERRIE SYDEE  |  MONDAY, 6 JUN 2016
... and on 26 May 2016 the AAT found the five year ban to be appropriate. Commenting on its decision, the AAT said that "Mr Chong's conduct involved repeated / systemic compliance failures and he repeatedly tried to shift the blame for his own failure to ...

ASIC bans former NAB-aligned adviser

ALEX BURKE  |  THURSDAY, 17 SEP 2015
... circumstances, copied and pasted client signatures on forms and arranged for implementation of advice prior to issuing SOAs. "Mr Chong's banning will be recorded on ASIC's register of financial advisers," ASIC's statement said. "[He] has a right to appeal ...
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