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Showing 401 - 410 of 476 results for "ASIC commissioner"

ASIC updates MIS guidance

LAURA MILLAN  |  THURSDAY, 6 JUN 2013
... the new requirements. The updated policy guidance provides clarity to operators of schemes and their advisers, ASIC commissioner Greg Tanzer said. The document focuses on the steps to acquire an interest in the scheme and the powers and rights of the ...

Former Bell Potter adviser sentenced to 5 years jail

LAURA MILLAN  |  THURSDAY, 23 MAY 2013
... prosecution in a month involving a financial adviser who has exploited client accounts in a deceptive fashion," ASIC commissioner Greg Tanzer said.

Ex-Lonsec MD convicted of insider trading

JAMES FERNYHOUGH  |  THURSDAY, 23 MAY 2013
... loss of the efficacy and integrity of the market. Those who held the shares and did not sell were victims." ASIC Commissioner John Price said, "Prosecuting insider trading has been a real focus for ASIC. In the last four years we have obtained convictions ...

ASIC raises red flag on capital protected products

LAURA MILLAN  |  THURSDAY, 2 MAY 2013
... "We are particularly concerned about potentially misleading or unhelpful claims of conditional protection," ASIC Commissioner Peter Kell said.

Fair Finance Australia pays infringement notice penalty

LAURA MILLAN  |  FRIDAY, 26 APR 2013
... consumers are not misled and put in a potential situation where they take on too much debt and are unable to repay," ASIC commissioner Peter Kell said.

One third of SMSF advice is poor: ASIC

ALEX DUNNIN  |  THURSDAY, 18 APR 2013
... Where we see examples of unlicensed SMSF advice, or misleading marketing, we will be taking regulatory action," ASIC Commissioner Peter Kell said.

ASIC targets SMSF confidence tricksters

MARK SMITH  |  THURSDAY, 11 APR 2013
... fast-growing 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 ...

Same Day Money loses credit licence

LAURA MILLAN  |  MONDAY, 11 MAR 2013
... compliance 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 ...

ASIC imposes AFSL conditions on Lionsgate

ALEX DUNNIN  |  THURSDAY, 7 MAR 2013
... they have 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 ...

MoneySmart fin lit schools kits now even more hi-tech

ALEX DUNNIN  |  FRIDAY, 22 FEB 2013
... future. Young 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 ...