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...
To continue reading this article...
Join International Investment
Join International Investment today
Unlock members-only benefits:
- Unlimited access to real-time news, industry insights, video features and market intelligence
- Stay ahead of the curve with spotlights on international financial centres, regional trends international advice and global industry leaders
- Receive breaking news stories straight to your inbox in the daily newsletters
- Hear the latest cross jurisdictional developments in wealth planning, tax, regulation, investing, retirement and protection
- Members-only access to the Editor’s weekly news roundup newsletter
- Members-only access to analysis via our exclusive industry polls
- Be the first to hear about our events and awards programmes