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Macquarie Private Wealth found to have recurring compliance deficiencies

Macquarie Private Wealth has given Australian Securities and Investments Commission (ASIC) an enforceable undertaking to fix recurring compliance deficiencies by and in the supervision of its advisors. The undertaking follows an ASIC surveillance, started in December 2011, which reviewed Macquarie’s compliance systems and a significant number of client files. ASIC found that Macquarie Equity – a subsidiary of Macquarie Group…

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