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Showing 21 - 30 of 61 results for "Alan Kirkland"

Three AFS licensees pinged over compliance breaches

ANDREW MCKEAN  |  WEDNESDAY, 9 APR 2025
... financial advisers and working to raise awareness with licensees and relevant providers. In January, ASIC commissioner Alan Kirkland warned that a failure to comply with the registration requirement could incur significant consequences for unregistered ...

FSCP deregisters adviser for two years

KARREN VERGARA  |  WEDNESDAY, 12 FEB 2025
... that we'll release the findings from this work in the second half of this calendar year," ASIC commissioner Alan Kirkland told a recent event.

Jones flags drafting of Tranche 2 legislation

KARREN VERGARA  |  TUESDAY, 11 FEB 2025
... financial advisers who are striving to meet the education standard by the deadline of 1 January 2026." ASIC commissioner Alan Kirkland, who also spoke at the event, said one of ASIC's key priorities this year is to curb financial advice misconduct that ...

Trustees, advisers have 'insufficient focus' on performance

ELIZA BAVIN  |  WEDNESDAY, 4 DEC 2024
ASIC commissioner Alan Kirkland had told financial advisers and superannuation trustees that more needs to be done to ensure better retirement outcomes for Australians. It comes after ASIC released its superannuation choice products and their focus ...

Half of advice, super complaints result in no remedy

ELIZA BAVIN  |  WEDNESDAY, 4 DEC 2024
... report for the full-year period. "This number is higher than ASIC expected," the report said. ASIC commissioner Alan Kirkland said it is important for firms to foster a positive complaints management culture, including a focus on gathering accurate data. ...

ASIC chair defends Chairman's Lounge memberships

JAMIE WILLIAMSON  |  THURSDAY, 7 NOV 2024
... Economics Legislation Committee today, chair Joe Longo - who appeared alongside deputy chair Sarah Court, commissioners Alan Kirkland and Simone Constant and others - was asked whether he has ever received flight upgrades from Qantas as a result of being ...

ASIC cancels fewer AFSLs in FY24

KARREN VERGARA  |  FRIDAY, 11 OCT 2024
... finalised 1246 AFSLs and credit licences, which was 15% less than the previous financial year of 1464. ASIC commissioner Alan Kirkland said: "ASIC's licensing and professional registration function plays a key gatekeeping role by ensuring new licensees ...

ASIC issues warning over shoddy DDO practices

JAMIE WILLIAMSON  |  TUESDAY, 10 SEP 2024
... distributors to reflect on the report's findings and improve their distribution practices," ASIC commissioner Alan Kirkland said.

ASIC calls out licensees: 'We will take action'

ELIZA BAVIN  |  THURSDAY, 20 JUN 2024
Australian Securities and Investments Commission (ASIC) commissioner Alan Kirkland issued a blunt warning to licensees not meeting their obligations. Speaking at an industry event, Kirkland said the regulator has spent two years warning licensees to ...

Australians selling assets over seeking help: ASIC

ELIZA BAVIN  |  MONDAY, 3 JUN 2024
... their personal belongings or get a second job rather than seek financial hardship assistance," ASIC commissioner Alan Kirkland said. "Customers in hardship are entitled under the law to request assistance. These findings should be top of mind for lenders ...