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Showing 411 - 420 of 472 results for "ASIC Commissioner"

Don't forget to remind DB members: ASIC

MARK SMITH  |  MONDAY, 21 JAN 2013
... fund if there is a funding shortfall and the employer is unwilling or unable to meet shortfall amounts," said ASIC commissioner Greg Tanzer. Many investors in defined benefit funds may not be aware that their ultimate benefit is affected by the capacity ...

FOFA guidance released

BEN COLLINS  |  FRIDAY, 14 DEC 2012
... client. "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 ...

ASIC eyes off researchers

BEN COLLINS  |  TUESDAY, 11 DEC 2012
... 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 ultimate rating. ...

Audit report "disappointing"

BEN COLLINS  |  WEDNESDAY, 5 DEC 2012
... 2006-07 financial year. "Following auditing standards is not merely a compliance hurdle to clear," John Price, ASIC commissioner said in November.

Ex-Kangaroo and Storm adviser banned for non-compliance

MARK STORY  |  MONDAY, 3 DEC 2012
... $60,051 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 ...

Bogus super fund a wake-up call for investors: ASIC

MARK STORY  |  THURSDAY, 29 NOV 2012
... Prudential Regulation Authority (APRA) purposes, and Aussie Super is not an APRA-registered superannuation fund. ASIC Commissioner Greg Tanzer said investors need to be cautious when offered unsolicited investment advice and products. 'Potential investors ...

ASIC takes action against Storm adviser

BEN COLLINS  |  THURSDAY, 22 NOV 2012
... for the next 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 ...

PwC partner banned from auditing

BEN COLLINS  |  TUESDAY, 20 NOV 2012
... deficiencies result in material misstatements in financial reports not being detected and addressed," said John Price, ASIC commissioner. Auditors are important gatekeepers and audit quality is essential in maintaining and promoting confidence and integrity ...

Another Commonwealth Financial Planning adviser banned

BEN COLLINS  |  MONDAY, 12 NOV 2012
... "ASIC 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 releases proposed conflicted remuneration guidelines

BEN COLLINS  |  TUESDAY, 2 OCT 2012
... best 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 ...

Editor's Choice

Federal Court calls out ASIC for re-running case on appeal

RIDDHIMA TALWANI  |   12:39PM
The Full Federal Court of Australia has criticised regulators for falling back on appeals to re-litigate cases on a different legal basis than the one run at trial.

Evergreen founder exits Ascalon Capital

KARREN VERGARA  |   12:33PM
Ascalon Capital has bid farewell to Evergreen Consultants' founder Angela Ashton, shortly after acquiring the consulting firm last year.

Powerhouse Ventures partners with European fund manager

KARREN VERGARA  |   12:10PM
ASX-listed Powerhouse Ventures has partnered with an unnamed European fund manager that will commit US$50 million to its fledgling Critical Infrastructure Opportunities (CIO) Fund.

KeyInvest unveils new investment platform, awards mandate

MATTHEW WAI  |   12:28PM
KeyInvest has launched a new investment platform to include a plethora of investment strategies ranging from private credit to global equities.

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