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This Week in Penalties 11October-15 October

Friday 15 October 2021
 
 


 The Australian Securities and Investments Commission (ASIC) commenced civil proceedings against Diversa Trustees because they allowed financial adviser Nizi Bhandari to operate while under investigation. 


 
Vanda Russel Gould no long has a financial licence for failing to maintain membership with the Australian Financial Complaints Authority.  
 

FAL Healthy Beverages Former director Tim Xenos was charged for managing a company while disqualified and intention to commit.