ASIC Banns another Financial Advisor -AUGUST 14 2017

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The Australian Securities and Investment Commission (ASIC) has banned financial adviser Travis Byron McLean from providing financial services for a period of five years. ASIC found that Mr McLean failed to act in his clients’ best interests when providing advice … Read More

ASIC tough on misrepresentations. -AUGUST 04 2017

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Financial Choice pays $21,600 in penalties for false and misleading representations Financial Choice Pty Ltd (Financial Choice), an Australian financial services provider, has paid two ASIC infringement notice penalties totalling $21,600, after making misleading representations in marketing emails sent to … Read More

Xmas message from Compliance National

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Good afternoon colleagues,   I’m sure you are all aware that it’s only 10 Days to Xmas and as such, it’s time to plan for compliance services over the holiday period.   All Compliance National services will continue over the … Read More

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