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Showing 91 - 100 of 267 results for "Peter Kell"

Findex hit with penalties

KERRIE SYDEE  |  MONDAY, 10 OCT 2016
... independence, is critical in order for consumers to make confident and informed financial decisions," ASIC deputy chair Peter Kell said. "This action puts the financial services sector on notice that ASIC is serious about tackling the inappropriate use ...

Former Westpac adviser banned

JAMIE WILLIAMSON  |  TUESDAY, 27 SEP 2016
... reporting obligations very seriously and we do not tolerate advisers who do not meet our standards." ASIC deputy chairman Peter Kell said: "This outcome shows that ASIC expects employees who are providing financial services to maintain high standards ...

LT Management fined over false SMSF advertising

JAMIE WILLIAMSON  |  TUESDAY, 27 SEP 2016
... accounting services of RS Capital for a period of two years at a cost of $2200. Commenting on the case, ASIC deputy chairman Peter Kell said: "Accuracy in advertising is integral to maintaining consumer trust and confidence in the SMSF sector. Such conditions ...

ASIC bans fraudulent adviser

KERRIE SYDEE  |  FRIDAY, 23 SEP 2016
... enhance his reputation to clients and create an illusion that he was a highly successful trader." ASIC deputy chair Peter Kell said: "Dishonesty by any financial adviser will not be tolerated by ASIC. We will investigate and prosecute instances of dishonesty ...

Another former AMP planner cops ban

JAMIE WILLIAMSON  |  WEDNESDAY, 21 SEP 2016
... ASIC will take action against financial advisers who do not comply with their obligations," said ASIC deputy chair Peter Kell. Elsewhere, an ASIC investigation has resulted in a former Sydney investment banker being charged. Darren Wayne Thompson pleaded ...

Advisory firm has licence cancelled

MARK SMITH  |  MONDAY, 19 SEP 2016
... statements and auditor reports with ASIC to demonstrate their capacity to provide financial services," ASIC deputy chair Peter Kell said. "Failure to comply with reporting obligations can be an indicator of a poor compliance culture. ASIC won't hesitate ...

ASIC hands down permanent and four year bans

KERRIE SYDEE  |  FRIDAY, 16 SEP 2016
... be permanently banned as a result of his convictions involving dishonest and fraudulent conduct. ASIC commissioner Peter Kell said Hill's misconduct was very serious: "ASIC will ban people from the finance industry who act dishonestly and place personal ...

ASIC hands down more permanent bans

JAMIE WILLIAMSON  |  WEDNESDAY, 14 SEP 2016
... services or credit laws will result in action by ASIC to remove them from these industries," said ASIC commissioner Peter Kell.

CBA pays $180,000 in penalties

ALEX BURKE  |  WEDNESDAY, 14 SEP 2016
... otherwise led to them being declined, and a further 1,152 were unlawfully given higher overdraft limits. ASIC deputy chair Peter Kell said: "Credit licensees should continuously monitor their internal processes to ensure compliance with the law. "This ...

Unlicensed property investor jailed for six years

ALEX BURKE  |  TUESDAY, 13 SEP 2016
... loss and hardship. ASIC will not hesitate to prosecute this type of deceptive and harmful conduct," ASIC deputy chair Peter Kell said.