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Showing 1051 - 1060 of 3144 results for "Peter"

Federal Court dismisses ASIC allegations

ALEX BURKE  |  TUESDAY, 3 JAN 2017
... to a breach of directorial duties at an investment management company which collapsed in 2013. ASIC originally said that Peter Charles Drake, Francene Maree Mulder and Eghard van der Hoven, directors of LM Investment Management, failed to act with "the ...

Regulator finalises ANZ compliance review

ALEX BURKE  |  FRIDAY, 23 DEC 2016
... affected by compliance breaches requiring total refunds and compensation of around $4.5 million. At the time, ASIC deputy chair Peter Kell said: "Appropriate compliance and systems to monitor compliance are essential for banks to adhere to their AFS ...

Suncorp fined for consumer credit breach

ALEX BURKE  |  FRIDAY, 23 DEC 2016
... to collections activity, including telephone calls or letters from Suncorp's debt collections staff." ASIC deputy chair Peter Kell said: "'Companies engaging in credit activity need to ensure that their systems have rigorous checks and balances, so that ...

Charter Hall director resigns

ALEX BURKE  |  WEDNESDAY, 21 DEC 2016
A Charter Hall non-executive director resigned shortly after chief financial officer Paul Altschwager's departure. Peter Kahan joined the Charter Hall board in 2009 and became a member of the group's remuneration and human resources committee, the nominations ...

Super skimming adviser permanently banned

JAMIE WILLIAMSON  |  MONDAY, 19 DEC 2016
... dishonest and a betrayal of client trust, while also deceiving PIS and the trustee of the super fund. ASIC deputy chair Peter Kell said: "ASIC will take action to remove dishonest persons from the financial services and credit industry to protect the ...

ASIC bans Sydney adviser

JAMIE WILLIAMSON  |  FRIDAY, 16 DEC 2016
... pay Protect Ensure's business-related expenses. Some investors lost their invested funds entirely. ASIC deputy chairman Peter Kell said: "ASIC will take action against financial advisers who mislead their clients. We will investigate and take action ...

RI Advice launches retirement planning toolkit

ALEX BURKE  |  THURSDAY, 15 DEC 2016
... boost awareness of the toolkit, RI also partnered with not-for-profit retiree association Probus, which RI chief executive Peter Ornsby said reflected his business' "long history and depth of experience as a network of retirement specialist advisers." ...

Australia dulled to gender diversity: AMP Capital

JAMIE WILLIAMSON  |  THURSDAY, 15 DEC 2016
... Australia, you are less likely to be appointed CEO or chairman of a company if you are a woman than if you are a man named Peter, and that has to change," Halliday said. For the past six year AMP Capital called out companies with no female directors. ...

QIC renews custody mandate

JAMIE WILLIAMSON  |  WEDNESDAY, 14 DEC 2016
... innovative solutions to our clients worldwide," McDonald said. Northern Trust head of global fund services, Asia Pacific, Peter Jordan said the partnership has evolved over the past five years as QIC's requirements and product range changed. "Our fund ...

Former ASX chief to chair Perpetual

JAMIE WILLIAMSON  |  TUESDAY, 13 DEC 2016
Perpetual chairman Peter Scott is retiring, with the firm also naming his successor. Former ASX chief executive and ASIC chairman Tony D'Aloisio is moving in as chairman-elect, replacing Scott when he steps down on 31 May 2017. Scott joined the Perpetual ...