Post: ASIC accepts court enforceable undertaking from former Melbourne financial adviser

ASIC has accepted a court-enforceable undertaking from former financial adviser, Shivdeep Jaidka, from Melbourne, Victoria.

ASIC conducted a review of the financial services provided by Mr Jaidka. Based on this review, ASIC formed the view that Mr Jaidka had failed to comply with s961B and s961G of the Corporations Act in relation to Self Managed Superannuation advice.

Under the terms of the undertaking, Mr Jaidka has agreed that he will not for a period of 5 years:

carry on a financial services business,
provide financial services, or
act in a managerial capacity of any entity operating a financial services business or providing legal, accounting or other advisory services to a financial services business.

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