Search Results | Showing 411 - 420 of 479 results for "ASIC Commissioner" |
| | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... owner of the 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 ... |
| | | | ... obligation to do 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 ... |
| | | | ... new fee 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 ... |
| | | | ... acting 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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. ... |
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