COMPLIANCE CASE STUDIES
Dishonest conduct and misappropriation of funds lead to tax agent ban
Issued: Last modified: 19 May 2025 Date of decision: 23 January 2025
Misappropriation of client refunds leads to termination
Issued: Last modified: 10 February 2025 Date of decision: 21 November 2024
Client refunds misappropriated due to inadequate supervision
Issued: Last modified: 2 December 2024 Date of decision: 3 October 2024
AAT refuses stay and confidentiality applications to protect the public interest
Issued: Last modified: 14 October 2024 Date of decision: 9 September 2024
Education order issued for incompetence
Issued: Last modified: 3 October 2024 Date of decision: 11 July 2024
Egregious conduct results in company’s termination
Issued: Last modified: 2 October 2024 Date of decision: 11 July 2024
Tax agent facilitates unregistered conduct
Issued: Last modified: 13 September 2024 Date of decision: 29 May 2024
BAS agent’s misconduct leads to termination
Issued: Last modified: 8 August 2024 Date of decision: 24 April 2024
Breach of client confidentiality
Issued: Last modified: 8 August 2024 Date of decision: 24 April 2024
Our approach to supervision and control requirements affirmed by AAT
Issued: Last modified: 1 August 2024 Date of decision: 19 July 2024
2-year ban imposed for Code breaches including failure to comply with an AAT order
Issued: Last modified: 27 June 2024 Date of decision: 28 March 2024
Misappropriation of clients’ fund
Issued: Last modified: 3 June 2024 Date of decision: 7 December 2023
Issued: Last modified: 31 May 2024 Date of decision: 7 December 2023
Federal Court dismisses appeal after tax agent misleads the TPB and ATO
Issued: Last modified: 31 May 2024 Date of decision: 24 April 2024
5-year ban for tax agent who obstructed tax laws
Issued: Last modified: 5 March 2024 Date of decision: 7 December 2023
Deceptive agent receives 3-year ban
Issued: Last modified: 8 February 2024 Date of decision: 24 October 2023
Failure to declare a criminal conviction leads to termination
Issued: Last modified: 7 February 2024 Date of decision: 16 November 2023
Tax agent with a criminal past
Issued: Last modified: 6 February 2024 Date of decision: 16 November 2023
Protecting the integrity of the tax system from dishonest BAS agent behaviour
Issued: Last modified: 1 February 2024 Date of decision: 24 October 2023
Integrity of the tax system at risk from dishonest agent
Issued: Last modified: 25 January 2024 Date of decision: 24 October 2023