Uptick in adviser numbers: Research
The financial advice industry bucked the trend for the first time in more than three years, adding 626 advisers during the March 2023 quarter.
Source: financialstandard.com.au
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Tribunal overthrows ASIC's ban of former Sydney adviser
An ex-bank adviser’s financial services ban has been varied by the Administrative Appeals Tribunal. In May, ex-ANZ adviser Lisa Lee was handed an 8-year ban by ASIC, however the corporate regulat
Source: ifa.com.au
ASIC bans ex bank adviser
ASIC bans ex bank adviser ASIC bans ex bank adviser ASIC has banned a former authorised representative of a major bank from financial services for eight years, after an investigation found she falsified a number of documents. A A In a statement, the regulator said ex ANZ adviser Lisa Lee had allegedly falsely witnessed binding nomination of beneficiary forms for 17 clients, backdated documents, and falsified a client’s signature on documents. Ms Lee had been an authorised representative of the bank from 2010 to 2017, and had been licensed under Infocus Securities from 2017 to 2019. ASIC sa...
Source: ifa.com.au