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Latest Commission's Decisions
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Breach of the Protection Obligation by Payroll2U
Nature of Breach: Protection
Decision: Financial Penalty
Date: 22 Apr 2024
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Breach of the Consent and Notification Obligations by a Registered Salesperson
Nature of Breach: Consent, Notification
Decision: Financial Penalty, Directions
Date: 21 Mar 2024
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Breach of the Protection Obligation by Whiz Communications
Nature of Breach: Protection
Decision: Financial Penalty
Date: 21 Mar 2024
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Breach of Do-Not-Call ("DNC") Provisions by a Financial Advisor
Nature of Breach: Do Not Call Provisions
Decision: Warning
Date: 22 Feb 2024