Tuesday, March 31, 2020

Tag: ASIC

ASIC Bans Queensland Adviser

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ASIC has banned Queensland-based financial adviser Timothy Shapter from providing financial services for a period of seven years, and cancelled the Australian financial services...

ASIC Takes Court Action Against NAB on Fees For No Service and FDS Failure

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In late December ASIC announced it had begun civil penalty proceedings in the Federal Court against National Australia Bank Limited (NAB) and was seeking...

Is Your Licensee a Threat to Your Professional Future?

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The recent closure of Dover Financial has resulted in hundreds of advisers seeking a new home and many others asking questions about the nature,...