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Showing 111 - 120 of 267 results for "Peter Kell"

AFSL cancelled for Sydney firm

KERRIE SYDEE  |  MONDAY, 4 JUL 2016
... years and failed to advise ASIC in writing, within 10 business days, of becoming aware of the breach. ASIC deputy chair Peter Kell said: "Licencees are required to lodge financial statements with ASIC to demonstrate their capacity to provide financial ...

Former ANZ planner slapped with ban

KERRIE SYDEE  |  THURSDAY, 9 JUN 2016
... client's objectives and strategy and then provide written documentation of those recommendations. ASIC deputy chairman Peter Kell said: "ASIC expects financial advisers to fulfil all of their obligations to their clients. Failure to do so is unacceptable." ...

MFSIM execs use $143.5m in client money to repay debts

KERRIE SYDEE  |  TUESDAY, 24 MAY 2016
... demonstrate the ability, skills and knowledge to provide financial services. Commenting on the EU ASIC deputy chairman Peter Kell said: "In instances where advice is provided to consumers to switch from existing superannuation products, especially defined ...

Banned SMSF adviser charged for misappropriating $1.8m

ALEX BURKE  |  FRIDAY, 20 MAY 2016
... to clients of financial advisers is appropriate for those individuals' needs and circumstances," ASIC deputy chair Peter Kell said.

ASIC orders HSBC remediation plan for "deficient" advice

ALEX BURKE  |  TUESDAY, 17 MAY 2016
... is to ensure that financial products are appropriate for the consumers' needs and circumstances," ASIC deputy chair Peter Kell said. "Where that doesn't occur, ASIC will intervene to ensure that affected clients are reviewed and compensated fairly and ...

ASIC makes two permanent bans

KERRIE SYDEE  |  FRIDAY, 13 MAY 2016
... financial advantage, larceny and using and possessing other people's identification information. ASIC deputy chair Peter Kell said: 'Banning unscrupulous operators like Mr D'Lamartin will ensure consumers can have trust and confidence in the financial ...

ASIC bans ex-NAB planner from the industry

ALEX BURKE  |  WEDNESDAY, 27 APR 2016
... strengthen the alignment of remuneration and incentives to customer outcomes." Commenting on the ban, ASIC deputy chair Peter Kell said: "ASIC will continue to protect consumers by removing those who engage in misleading and deceptive conduct from the ...

ASIC hands Allegianz six month suspension

KERRIE SYDEE  |  FRIDAY, 1 APR 2016
... obligations and licence conditions. ASIC has suspended Allegianz's licence until 10 September 2016. ASIC deputy chair Peter Kell said: "Licensees are required to lodge financial statements with ASIC to demonstrate their capacity to provide financial ...

Advice firm made to take specialist SMSF training

ALEX BURKE  |  THURSDAY, 31 MAR 2016
... SMSF is a significant financial step for consumers and many factors can impact their decision," said ASIC deputy chair Peter Kell. "It is therefore important that consumers receive quality, compliant advice that will assist them in making informed decisions ...

ANZ appoints PwC for OnePath compliance review

ALEX BURKE  |  TUESDAY, 15 MAR 2016
... targeted external audits and additional staff training to improve monitoring, reporting and governance." ASIC deputy chair Peter Kell concluded, "Appropriate compliance and systems to monitor compliance are essential for banks to adhere to their AFS ...

Editor's Choice

Invesco launches new equity fund

ELIZA BAVIN
Invesco said the new fund will give Australian investors access to a systematic global equity strategy with a 20-year track record.

FCA pursues Neil Woodford again

KARREN VERGARA
The Financial Conduct Authority (FCA) is going after failed fund manager Neil Woodford again, this time for allegedly providing unauthorised investment advice via W4.0, his Dubai-based investment platform.

Former APRA deputy chair launches retirement solutions startup

KARREN VERGARA
A former APRA deputy chair has launched CipherIQ, a new venture that provides retirement solutions via account-based pensions in partnership with superannuation funds, financial advisers and retirees.

Global X launches space tech ETF

MATTHEW WAI
Global X has now launched the space tech ETF (ASX: MOON).

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