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Showing 151 - 160 of 263 results for "Peter Kell"

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 ...

ASIC cancels boutique's AFSL

HARRY PAGE  |  THURSDAY, 18 DEC 2014
... position. Protect Ensure failed to provide updated and audited accounts that met ASIC's standards. ASIC deputy chairman Peter Kell said licensees need to demonstrate that they have adequate financial resources to continue their financial services business ...

ASIC to scrutinise intra-fund advice

JAMES FERNYHOUGH  |  WEDNESDAY, 19 NOV 2014
... operations over the coming year, according to Australian Securities and Investments Commission (ASIC) deputy chairman Peter Kell. Kell said the regulator's increased scrutiny of this growing category of advice would include more onsite visits. "We'll ...

Gold Coast advice firm enters EU over misleading ads

LAURA MILLAN  |  TUESDAY, 11 NOV 2014
... nature will not be tolerated and ASIC will take swift action when confronted with false claims," ASIC deputy chairman Peter Kell said. The advertisements have now been removed and Equanimity must now appoint an independent consultant to review its compliance ...

ASIC pays commissioners $2.9m in 2014

LAURA MILLAN  |  THURSDAY, 30 OCT 2014
... including superannuation, and the lowest was $491,790. ASIC top officials are chairman Greg Medcraft, deputy chairman Peter Kell, commissioner John Price, commissioner Greg Tanzer and commissioner Cathy Armour. A total of 33 ASIC senior executives received ...