September 13, 2016 BY Valentina Kirilova
ASIC accepts enforceable undertaking to address compliance failures of Perth financial advice firm
ASIC has accepted an enforceable undertaking (EU) from Neo Financial Solutions Pty Ltd following concerns about the adequacy and application of Neo’s risk management and compliance frameworks. Under the EU, Neo will engage an independent expert to assess, report and make recommendations about Neo’s risk management and compliance frameworks. NEO is based in Perth, Western…
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