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Showing 151 - 160 of 267 results for "Peter Kell"

ASIC bans convicted broker

MARK SMITH  |  WEDNESDAY, 20 MAY 2015
... 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 ...

ASIC cancels Sydney broker licence

ALEX BURKE  |  THURSDAY, 7 MAY 2015
... 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."

ASIC developing regulatory guide for advice remediation

ALEX BURKE  |  WEDNESDAY, 6 MAY 2015
... 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 ...

ASIC bans incompetent adviser

MARK SMITH  |  THURSDAY, 30 APR 2015
... 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. ...

Advisers Register hits 22k

DARREN SNYDER  |  WEDNESDAY, 29 APR 2015
... ability to search more than 22,000 in the industry. Australian Securities and Investments Commission (ASIC) deputy chair, Peter Kell, recently indicated that next month consumers will also be able to view more information about professional and educational ...

ASIC investigating false fees in large advice firms

ALEX BURKE  |  THURSDAY, 16 APR 2015
... examples, fees were charged "as part of a client's service agreement with their financial adviser." ASIC deputy chair Peter Kell commented that the regulator is considering multiple options to address these issues, "including enforcement action." He ...

ASIC launches planner register

ALEX BURKE  |  TUESDAY, 31 MAR 2015
... financial advisers and will improve ASIC's ability to identify and monitor financial advisers," said ASIC deputy chairman Peter Kell. "ASIC will now focus its efforts on the second stage of the register which will capture financial adviser qualification ...

Former Gold Coast adviser sentenced

ALEX BURKE  |  WEDNESDAY, 18 MAR 2015
... retirement age, was completely at odds with the provision of appropriate financial advice," said ASIC deputy chair Peter Kell.

ASIC ends Macquarie EU but sees gaps in advice files

LAURA MILLAN  |  FRIDAY, 13 FEB 2015
... allow MEL to better manage its advice risk," ASIC said. But the regulator did not extend the EU and deputy chairman Peter Kell said to the media that this is because "we're getting everything we need from MEL and KPMG." He said that ASIC is ready to ...

ASIC imposes conditions on Guardian Advice

STAFF WRITER  |  WEDNESDAY, 7 JAN 2015
... that unsuitable advice could be provided by Guardian Advice and its authorised representatives," ASIC deputy chairman Peter Kell said. The regulator acknowledged the cooperative and constructive approach that Guardian Advice has taken in response to ...

Editor's Choice

Super funds race to implement digital advice

VINNY VUCAGO
Australian superannuation funds are increasingly turning to digital advice tools to bridge the longstanding gap between members needs and access to affordable financial guidance, according to executives at wealth technology Bravura Solutions.

Musk's $106bn fundamental-defying IPO lands on Nasdaq

RIDDHIMA TALWANI
SpaceX has raised US$75 billion ($106.8bn) in the biggest-ever stock market debut, valuing Elon Musk's rocket and satellite company at US$1.77 trillion.

Quinbrook appoints Australian lead

VINNY VUCAGO
Energy transition infrastructure investor Quinbrook has appointed Tim Horneman as region leader for Australia, formalising his responsibility for the firm's local investment activities and business operations.

Former ASFA COO joins housing fund manager

MATTHEW WAI
The former chief operating officer of the Association of Superannuation Funds of Australia (ASFA) has joined C1 Capital Group as chief investment and operating officer.

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