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Showing 221 - 230 of 267 results for "Peter Kell"

Ex-Kangaroo and Storm adviser banned for non-compliance

MARK STORY  |  MONDAY, 3 DEC 2012
... paid to him in error by the Commonwealth Bank as a settlement under the CBA Storm Resolution Scheme. ASIC Commissioner Peter Kell concluded that Fullerton-Smith had failed to maintain the high standards expected of a provider of financial services, and ...

ASIC takes action against Storm adviser

BEN COLLINS  |  THURSDAY, 22 NOV 2012
... two years will also be checked over by a senior independent financial planner, approved by ASIC. ASIC Commissioner, Peter Kell, said this outcome reflected ASIC's commitment to ensuring financial advisers met required standards and maintaining consumer ...

Another Commonwealth Financial Planning adviser banned

BEN COLLINS  |  MONDAY, 12 NOV 2012
... considers Gillespie's conduct to be serious. Gillespie's wrongdoing was not an isolated incident," said ASIC commissioner Peter Kell. "Instead Gillespie engaged in a series of conscious and deliberate acts designed to disguise and conceal his non-compliance ...

ASIC seeks adviser feedback on FOFA code of conduct

LINDA HAUSKEN  |  THURSDAY, 1 NOV 2012
... released late October, is relevant to advisers who are considering submitting either a new or existing code for approval. Peter Kell, commissioner at ASIC said that there are some fundamental issues the regulator genuinely need some further substantial ...

ASIC consults on code approval under FOFA

LINDA HAUSKEN  |  WEDNESDAY, 24 OCT 2012
... for opt-in administration, governance, monitoring and enforcement of codes, and ASIC's approval and relief process. Peter Kell, commissioner at ASIC pointed out that membership of a code should not be seen as an easy option for compliance. He noted that ...

ASIC releases proposed conflicted remuneration guidelines

BEN COLLINS  |  TUESDAY, 2 OCT 2012
... interests of clients and a requirement for clients to opt-in to renew ongoing fee agreements, said ASIC. ASIC commissioner, Peter Kell, said the ban on conflicted remuneration is a core element of the FOFA reforms, and as such it's important they receive ...

QLD adviser cops five year ban

LINDA HAUSKEN  |  TUESDAY, 21 AUG 2012
... said. "If financial advisers fail to meet their obligations we will make sure they are removed from the industry," said Peter Kell commissioner ASIC. Giraldo has the right to appeal to the Administrative Appeals Tribunal for a review of its decision. ...

ASIC unveils primary school teaching package

ALEX DUNNIN  |  MONDAY, 13 AUG 2012
... teachers held in Adelaide last week. A resource package for secondary schools is on track for release in December. Peter Kell, ASIC Commissioner, said, "The key to effective financial literacy education is to start young. We need to engage students and ...

Regulators on post-Trio watch

BEN COLLINS  |  THURSDAY, 2 AUG 2012
... Australian Securities & Investments Commission (ASIC) could never guarantee that a similar scenario would not occur again, Peter Kell, ASIC commissioner, said that changes had been made. "What we do realise is that we need to be more effective in picking ...

ASIC bans Sydney adviser

LINDA HAUSKEN  |  WEDNESDAY, 18 JUL 2012
... industry for individuals who use client funds dishonestly and ASIC will act promptly to remove those who do," said Peter Kell, commissioner of ASIC. The regulator said that Oberg has the right to lodge an application with the Administrative Appeals Tribunal ...

Editor's Choice

Aware Super reshapes governance team, appoints chief risk officer

VINNY VUCAGO
Aware Super has announced a leadership reshuffle, appointing a new chief risk officer amid the departure of its long-serving group executive of legal.

IFM lifts stake in Atlas Arteria to 40% after upping offer price

RIDDHIMA TALWANI
IFM Investors has raised its stake in Atlas Arteria from 34.5% to 38.3% in an on-market stock purchase, just a day after it raised its offer price for the toll road operator to $5.10 per security.

Zenith bolsters research, investment capabilities with new hires

MATTHEW WAI
Zenith has announced two senior appointments to strengthen its research and portfolio management divisions.

Regulators push for stronger stress-testing capability, resilience

KARREN VERGARA
The ability to remain resilient and manage liquidity pressures amid severe, multi-dimensional stress scenarios is an area of focus that APRA and ASIC want superannuation funds to improve.

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