October 16, 2017 BY Valentina Kirilova
ASIC accepts enforceable undertaking from Sentinel Private Wealth
ASIC just announced that has accepted an enforceable undertaking (EU) from Sentinel Private Wealth Pty Ltd (SPW) after ASIC found SPW was giving poor financial advice and that client file audits were inadequate. Under the EU, SPW will engage an independent expert to assess, make recommendations and report on SPW's audit framework. The independent expert's…
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