Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 211 - 220 of 267 results for "Peter Kell"

Same Day Money loses credit licence

LAURA MILLAN  |  MONDAY, 11 MAR 2013
... standards are not being met, we will not hesitate to remove individuals and entities from the industry," ASIC Commissioner Peter Kell said. "Generally, Mr Sullivan lacks the knowledge, diligence, honesty, integrity and judgement to operate a credit business," ...

ASIC imposes AFSL conditions on Lionsgate

ALEX DUNNIN  |  THURSDAY, 7 MAR 2013
... adequate supervisory arrangements in place to identify and address advice deficiencies quickly," said ASIC Commissioner Peter Kell. "It is imperative that licensees ensure that as their business grows, they review their compliance arrangements and resource ...

MoneySmart fin lit schools kits now even more hi-tech

ALEX DUNNIN  |  FRIDAY, 22 FEB 2013
... people benefit from learning experiences which are relevant, engaging and available on demand', said ASIC Commissioner, Peter Kell. The resources were developed in collaboration with Global Vision Media and Roar Film and are based on the National Consumer ...

SMSF adviser escapes jail time with suspended sentence

BEN COLLINS  |  FRIDAY, 22 FEB 2013
... shares. He also indicated to one of the clients that the shares were likely to increase in value. ASIC commissioner Peter Kell said ASIC is focused on promoting the integrity of the self-managed super industry so that ultimately, consumers feel confident ...

ASIC cancels national planning firm's license

MARK SMITH  |  THURSDAY, 7 FEB 2013
... all things necessary to ensure they provide financial services efficiently, honestly and fairly," ASIC Commissioner Peter Kell. "AAA Financial Intelligence was found to have an appalling record that put at risk the quality of advice it provided to retail ...

Ripoll thanks industry for reforms support

BEN COLLINS  |  TUESDAY, 5 FEB 2013
... these changes," Ripoll, also speaking alongside Australian Securities & Investments Commission (ASIC) commissioner Peter Kell, said. Ripoll, who chaired the Government's Joint Committee on Corporations and Financial Services, also said that he was proud ...

FPA grief over new fee rules

BEN COLLINS  |  FRIDAY, 25 JAN 2013
... disclosure standards that his group's members will have no choice but to follow from 1 July this year. ASIC Commissioner Peter Kell said while ASIC would show some leniency for the first year of new rules, after that there would be "stronger regulatory ...

Former mortgage broker convicted

MARK STORY  |  FRIDAY, 25 JAN 2013
... dishonestly in this case, the Sydney District Court imposed a two-year good behaviour bond on Mr Nguyen. ASIC Commissioner Peter Kell said brokers must familiarise themselves with their obligations under the National Credit Act. The conviction of Nguyen ...

FOFA guidance released

BEN COLLINS  |  FRIDAY, 14 DEC 2012
... "Consumers expect financial advisers to act in their best interests when giving them personal advice," ASIC Commissioner Peter Kell said. Also provided are examples that demonstrate how to give scaled advice while complying with the best interest component ...

ASIC eyes off researchers

BEN COLLINS  |  TUESDAY, 11 DEC 2012
... issued by research providers, particularly in light of various investment failures that had been rated highly," said Peter Kell, ASIC Commissioner. "It is particularly important for research providers to manage conflicts of interest that may affect the ...