Search Results | Showing 11 - 20 of 28 results for "ASIC Commissioner Peter Kell" |
| | | ... misled and put in a potential situation where they take on too much debt and are unable to repay," ASIC commissioner Peter Kell said. |
| | | | ... examples of unlicensed SMSF advice, or misleading marketing, we will be taking regulatory action," ASIC Commissioner Peter Kell said. |
| | | | ... self-managed superannuation fund (SMSF) industry. Addressing a packed room at the Hilton Hotel in Sydney, ASIC commissioner Peter Kell opened the annual CPA Australia SMSF conference and expo by outlining the importance of safe-guarding SMSFs. "I urge ... |
| | | | ... 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," ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... "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 ... |
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