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Showing 421 - 430 of 476 results for "ASIC commissioner"

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 ...

New hedge fund rules for post-GFC environment

MELANIE TIMBRELL  |  WEDNESDAY, 19 SEP 2012
... investors following recent high-profile cases of fraud. Addressing the Australian Hedge Fund Forum yesterday, ASIC commissioner Greg Tanzer said the rules had been strongly influenced by the $176 million collapse of Trio Capital, where money was invested ...

ASIC unveils primary school teaching package

ALEX DUNNIN  |  MONDAY, 13 AUG 2012
... Adelaide last week. A resource package for secondary schools is on track for release in December. Peter Kell, ASIC Commissioner, said, "The key to effective financial literacy education is to start young. We need to engage students and their families ...

Regulators on post-Trio watch

BEN COLLINS  |  THURSDAY, 2 AUG 2012
... Investments Commission (ASIC) could never guarantee that a similar scenario would not occur again, Peter Kell, ASIC commissioner, said that changes had been made. "What we do realise is that we need to be more effective in picking up industry intelligence ...

ASIC raises bar on OTC derivatives

MELANIE TIMBRELL  |  WEDNESDAY, 1 AUG 2012
... increase in minimum net tangible asset (NTA) requirements for retail over-the-counter (OTC) derivative issuers. ASIC commissioner Greg Tanzer said the new requirements had been developed to help ensure AFS licensees have adequate resources to effectively ...

ASIC eyes off UL property

BEN COLLINS  |  WEDNESDAY, 18 JUL 2012
... improved to meet both the legal obligations of the responsible entities and good practice within the industry. ASIC commissioner, Greg Tanzer, said ASIC chose responsible entities operating unlisted property schemes because they are a popular investment ...

Cold calling scammer gets 10 year ban

LINDA HAUSKEN  |  TUESDAY, 26 JUN 2012
... investor funds, previously frozen following ASIC action, will be distributed to investors on a pro-rata basis. ASIC Commissioner Peter Kell said the removal of unscrupulous operators from the financial services sector was critical to creating an environment ...

Editor's Choice

Treasury responds to Debelle's review into the AOFM

KARREN VERGARA
Treasury has responded to the Guy Debelle-led review into the Australian Office of Financial Management (AOFM), agreeing to all six recommendations.

Bravura ups guidance, reports earnings increase

RIDDHIMA TALWANI
Bravura Solutions informed investors cost discipline will protect its full year earnings result after a client migrated to a Business Process Outsourcing (BPO) early in the year.

MaxCap hires from Vanguard, AustralianSuper

MATTHEW WAI
MaxCap has welcomed two senior directors, including a portfolio manager from Australia's largest super fund, reporting to the recently named chief executive Kylie Robb.

Zenith snags mandate from Granite Bay

MATTHEW WAI
Granite Bay Private Wealth has selected Zenith Investment Partners to support their investment governance and due diligence.

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