Australian watchdog bans two advisers

Pedro Gonçalves
clock • 2 min read

ASIC has slapped a former NAB adviser Wendy Chapman with a five-year ban from providing financial services and Queensland adviser Nina Katherina Williams has been banned for one year Chapman who has been barred from providing financial services for five years, was formerly an authorised representative of NAB and Key Financial Planners. ASIC found that Chapman "failed to gather relevant client information when providing personal financial product advice, including assessments of products that might achieve clients' objectives and needs." The regulator also found that the South Australi...

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