Prompted by a negative report from the regulator, the new agency has questioned firms’ resolution times and communication with clients.
Tahn SharpeDecember 17, 2018
The inquiry has put all AFSL holders on notice. Here’s a lawyer’s guide to getting ready for the demands and dangers that may come.
Mark Petrucco and Jacob UljansMarch 1, 2018
Funds with corporate trustees that wish to trade with Europe will need to sync with a global identity standard by January 3, 2018.
Tahn SharpeDecember 19, 2017
Mr Ricky David Gillespie has been sentenced in the Brisbane Magistrates Court for the forgery of client documents. Mr Gillespie was fined $3,000, with no conviction recorded. Mr Gillespie was a senior financial planner of the Commonwealth Bank’s financial planning subsidiary, Commonwealth Financial Planning Limited (CFPL). The charges brought against Mr Gillespie related to the […]
Cut+PasteDecember 18, 2017