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Showing 91 - 99 of 99 results for "ASIC deputy chair Peter Kell"

ASIC bans former risk adviser

ALEX BURKE  |  THURSDAY, 9 JUL 2015
... obligations will not be tolerated by ASIC and advisers who do so will be removed from the industry," said ASIC deputy chair Peter Kell.

Industry reacts to ASIC register update

ALEX BURKE  |  TUESDAY, 2 JUN 2015
... include qualifications, training and professional association memberships. Announcing the changes, ASIC deputy chair Peter Kell said: "We want consumers to be able to make an informed decision in their choice of adviser and the register is a good starting ...

Treasury proposes higher regulatory levies for super funds

ALEX BURKE  |  THURSDAY, 21 MAY 2015
... their key obligations, including minimum standards of compliance, supervision and conduct," said ASIC deputy chair Peter Kell. "In approving applications, ASIC may impose additional conditions on, and/or make adjustments to the original licence application. ...

ASIC bans convicted broker

MARK SMITH  |  WEDNESDAY, 20 MAY 2015
... will protect consumers and help ensure borrowers have trust and confidence in the lending sector," ASIC deputy chair Peter Kell said. Since becoming the national regulator of consumer credit in 2010, ASIC has banned 29 individuals or companies (including ...

ASIC cancels Sydney broker licence

ALEX BURKE  |  THURSDAY, 7 MAY 2015
... under an exemption to hold an Australian credit licence must adhere to the bounds of the exemption," ASIC deputy chair Peter Kell said. "ASIC will act against those who fail in this regard."

ASIC developing regulatory guide for advice remediation

ALEX BURKE  |  WEDNESDAY, 6 MAY 2015
... clients should have robust review and remediation programs in place to protect their clients," said ASIC deputy chair Peter Kell. "We want to ensure that if a financial advice licensee needs to provide remediation, they do so in a way that is fair, honest ...

ASIC investigating false fees in large advice firms

ALEX BURKE  |  THURSDAY, 16 APR 2015
... examples, fees were charged "as part of a client's service agreement with their financial adviser." ASIC deputy chair Peter Kell commented that the regulator is considering multiple options to address these issues, "including enforcement action." He ...

Former Gold Coast adviser sentenced

ALEX BURKE  |  WEDNESDAY, 18 MAR 2015
... retirement age, was completely at odds with the provision of appropriate financial advice," said ASIC deputy chair Peter Kell.

Advice riskiest ASIC sector

LAURA MILLAN  |  WEDNESDAY, 19 FEB 2014
... Senate Economics Reference Committee, which investigates the regulator's performance, along with ASIC deputy chair Peter Kell. Medcraft refused to comment on the government's proposed amendments on the Future of Financial Advice (FoFA) regulation, which ...