Search Results | Showing 141 - 150 of 263 results for "Peter Kell" |
| | | ... 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. ... |
| | | | ... 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 ... |
| | | | ... 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." |
| | | | ... 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 ... |
| | | | ... replacement product advice. "This case highlights the importance of record keeping by advisers," ASIC deputy chairman Peter Kell said. "Financial advisers must keep accurate and up to date records detailing a client's circumstances and the advice given. ... |
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