Tuesday, March 31, 2020


ASIC Bans Queensland Adviser

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

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?

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