Compliance case studies

The following case studies provide a summary of Board Conduct Committee (BCC) decisions on compliance matters:

Date of decision	Case study
29 May 2020	Company ordered to appoint additional supervising tax agent Tax (financial) adviser no longer satisfies registration requirement
14 May 2020	Tax agent cautioned for not passing on tax refunds Company suspended for aiding unregistered agent activities
30 April 2020	Company practises with no registered agent Suspended tax agent fails to complete CPE as ordered
16 April 2020	A company loses registration due to dishonesty and incompetent services
2 April 2020	False audit declarations result in termination
12 March 2020	Stolen tax refunds and fraudulent returns uncovered in Board investigations
20 February 2020	Tax agent underreports over $900,000 in income Reckless behaviour and disregard for tax laws end registration
30 January 2020	Superannuation guarantee charge debt and bankruptcy lead to termination Failure to comply with Board's order

Last modified: 20 July 2020

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