Search Results | Showing 141 - 150 of 267 results for "Peter Kell" |
| | | ... seeking life insurance can be confident that their adviser will provide appropriate advice," said ASIC deputy chair Peter Kell. Up until his banning, Zelka worked for NEO Financial Solutions. Another NEO adviser, Alfie Chong, who formerly with NAB-aligned ... |
| | | | ... a warning to superannuation trustees A by the Australian Securities and Investments Commission (ASIC). Commissioner Peter Kell said occasionally the promotion of member-direct or self-managed investment options gave the impression members were provided ... |
| | | | ... superannuation trustees about the promotion of member direct or self-managed investment options. ASIC commissioner Peter Kell said that occasionally the promotion of self-managed investment options gave the impression members were provided the same level ... |
| | | | ... "Mr Kolody's conduct demonstrates a clear failure to protect the interests of his clients," said ASIC deputy chair Peter Kell. "Financial advisers must provide appropriate advice, and they must keep adequate records that set out the basis on which the ... |
| | | | ... accurate information and are not misled by advertising, including on websites and through social media," ASIC deputy chair Peter Kell said. A statement from ASIC added that as the use of social media for promoting financial products and advice services ... |
| | | | ... misconduct, ASIC has permanently banned him from the financial services industry. Commenting on the ban, ASIC deputy chair Peter Kell said: "Mr Gupta's actions were motivated by his own potential gains. For the protection of the public, ASIC will act ... |
| | | | ... obligations will not be tolerated by ASIC and advisers who do so will be removed from the industry," said ASIC deputy chair Peter Kell. |
| | | | ... 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 ... |
| | | | ... undertaken by the company and as agreed under an enforceable undertaking accepted by ASIC in January 2013. ASIC Commissioner Peter Kell said investors should feel confident that financial advisers are acting within the authority given to them by their ... |
| | | | ... 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. ... |
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