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ASIC publishes Part 3 of the third KordaMentha Forensic report concerning CBA financial planning businesses

ASIC has today published Part 3 of the third KordaMentha Forensic report pursuant to its appointment by ASIC as the Compliance Expert relating to two CBA financial planning businesses.

Insights ASIC publishes Part 3 of the third KordaMentha Forensic report concerning CBA financial planning businesses
Tuesday, 23 January 2018
The report has been published by ASIC here (ASIC Media Release 18-018). This report relates to the Additional Licence Conditions 29(a) and (b).


Background

KordaMentha Forensic was appointed on 14 November 2014 (ASIC media release 14-302) to monitor compliance with additional Australian Financial Services Licence conditions imposed by ASIC on two CBA financial planning businesses, Commonwealth Financial Planning Limited and Financial Wisdom Limited.

The first KordaMentha Forensic report was issued on 23 April 2015 (ASIC Media Release 15-083).

The second KordaMentha Forensic report was issued on 17 December 2015 (ASIC Media Release 15-390).

Parts 1 and 2 of the third KordaMentha Forensic report were issued on 5 December 2016 (ASIC Media Release 16-415).

All queries related to the content or to any use of this report must be addressed to KordaMentha Forensic at [email protected], with a copy to ASIC at [email protected].

Please note: KordaMentha Forensic is not handling complaints from customers of Commonwealth Financial Planning Limited or Financial Wisdom Limited. If you have a report of misconduct, please lodge it with ASIC here.