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Showing 141 - 150 of 267 results for "Peter Kell"

ASIC bans ex-Genesys adviser

ALEX BURKE  |  THURSDAY, 1 OCT 2015
... 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 ...

Direct investment options are not SMSFs

DARREN SNYDER  |  FRIDAY, 18 SEP 2015
... 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 ...

ASIC warns super trustees

DARREN SNYDER  |  TUESDAY, 15 SEP 2015
... 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 ...

Former Madison FG adviser banned

ALEX BURKE  |  TUESDAY, 8 SEP 2015
... "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 ...

Advice firm pays penalty for misleading claims

MARK SMITH  |  TUESDAY, 21 JUL 2015
... 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 ...

ASIC bans auditor and adviser

ALEX BURKE  |  WEDNESDAY, 15 JUL 2015
... 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 ...

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 ...

ASIC bans Macquarie representative

DARREN SNYDER  |  TUESDAY, 26 MAY 2015
... 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 ...

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. ...