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Showing 171 - 180 of 267 results for "Peter Kell"

ASIC cracks down on advisers over PI insurance

LAURA MILLAN  |  THURSDAY, 7 AUG 2014
... business and confirmed the professional indemnity insurance arrangements of the remaining licensees. ASIC deputy chairman Peter Kell said: "This review has assisted ASIC to remove licensees which are failing to meet their professional indemnity obligations ...

FSC annual conference 2014 - Day 1 newsletter

STAFF WRITER  |  THURSDAY, 7 AUG 2014
... from Day 1 include FSC chairman Greg Cooper's opening address and a keynote presentation from ASIC deputy chairman Peter Kell, APRA deputy chairman Ian Laughlin andA Treasury's Jan Harris. Read the newsletter for more.

We don't want to regulate SMSFs: APRA, ASIC

ALEX DUNNIN  |  THURSDAY, 7 AUG 2014
... want to regulate SMSFs," said Ian Laughlin, deputy chair of the Australian Prudential Regulation Authority (APRA). But Peter Kell, deputy chair of the Australian Securities and Investments Commission (ASIC), challenged his questioner whether being asked ...

Licensee under ASIC scrutiny after employing AAA advisers

LAURA MILLAN  |  WEDNESDAY, 30 JUL 2014
... recognising they may have been exposed to a less robust or non-compliant supervisory environment', ASIC deputy chairman Peter Kell said.

In the throes of change

MICHELLE BALTAZAR  |  TUESDAY, 29 JUL 2014
... mind for an advocacy organisation, one panel session will feature the country's key regulators - ASIC's deputy chair Peter Kell,A APRA's deputy chair Ian Laughlin and the Treasury Department's executive director Jan Harris - on the hot seats to discuss ...

ASIC permanently bans former finance broker

HARRY PAGE  |  THURSDAY, 10 JUL 2014
... Newstart allowance forms and made a false declaration to the Migration Agents Registration Authority. ASIC deputy chairman Peter Kell said Frugtniet's conduct was incompatible with the traits of someone who was permitted to engage in credit activities. ...

ASIC changes depend on the government: Medcraft

LAURA MILLAN  |  FRIDAY, 27 JUN 2014
... financial planners." "The industry as a whole needs to lift its game, that's very clear from this inquiry," ASIC chair Peter Kell said. Regarding the record 61 recommendations that the Senate Committee has included in the report, the two ASIC officials ...

Queensland advice firm falls foul of regulator

MARK SMITH  |  THURSDAY, 15 MAY 2014
... adequate systems in place to ensure they are fully across the actions of their representatives," ASIC deputy chairman Peter Kell said. Under the enforceable undertaking, LCL Capital will face a 15 month regime of supervision, review and audit of their ...

New reports to stir financial planning perfect storm

LAURA MILLAN  |  MONDAY, 5 MAY 2014
... as a result of these events," the bank continued. ASIC chose to upload a video on YouTube, where its deputy chairman Peter Kell gave some background information on the CBA scandal and defended the way ASIC dealt with it. He admitted that the regulator ...

Virgin Money cops fine for misleading direct insurance ads

MARK SMITH  |  WEDNESDAY, 30 APR 2014
... consumers should be able to confidently rely on representations made to them in advertising," ASIC deputy chairman Peter Kell said. The payment of an infringement notice is not an admission of a contravention of the Australian Securities and Investment ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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