ASIC imposes additional licence conditions on Poynter Hargraves Financial Consultants Pty Ltd
ASIC has imposed additional conditions on the Australian financial services (AFS) licence of Poynter Hargraves Financial Consultants Pty Ltd (Poynter Hargraves). This follows a targeted surveillance by ASIC that found Poynter Hargraves had poor risk controls around conflict management and was not adequately monitoring and supervising its representatives. ASIC’s surveillance also found that some clients …
