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Showing 431 - 440 of 472 results for "ASIC Commissioner"

ASIC highlights CFD compliance issues

BEN COLLINS | FRIDAY, 1 JUN 2012

... "The client money provisions are an important safeguard to protect the interests of retail investors," said ASIC Commissioner Greg Tanzer. "ASIC expects issuers to know and comply with their obligations under the law and to put in place effective measures ...

ASIC warns industry about misusing term independent

LINDA HAUSKEN | THURSDAY, 3 MAY 2012

... order to assess the extent of the problem of inappropriate usage of the term 'independent'," said Peter Kell, ASIC commissioner. Kell said, ASIC's first priority is to ensure people are receiving the information they need to make informed and confident ...

ASIC flags guidance on code approval

MELANIE TIMBRELL | WEDNESDAY, 2 MAY 2012

... opt-in. Speaking yesterday at a joint Association of Financial Advisers / Financial Services Council event, ASIC commissioner Peter Kell said the guidance would address a number of issues, including the requirement to do a fact find when giving scaled ...

FPA calls on ASIC for clearer advice definitions

LINDA HAUSKEN | WEDNESDAY, 2 MAY 2012

... advice examples were poor, 3% were deemed good quality advice and the remaining 58% were adequate. Peter Kell, ASIC commissioner, said a challenging aspect of our research, both for ASIC and for your industry, was that many consumers were not well equipped ...

ASIC permanently bans CFD dealer

BEN COLLINS | MONDAY, 23 APR 2012

... money on day-to-day living expenses, as well as to fund various payment entitlements to the investors,' said ASIC commissioner Peter Kell. 'We want to ensure that product providers in the financial services sector act with honesty and integrity. If they ...

Flaws in advice system revealed by ASIC report

ELISE BURGESS | WEDNESDAY, 28 MAR 2012

... advice examples were poor, 3% were deemed good quality advice and the remaining 58% were adequate. Peter Kell, ASIC commissioner, said the results highlighted the scope for significant improvement in retirement advice with several areas where the financial ...

ASIC appoints new commissioner

CLAIRE MCGREAL | FRIDAY, 23 MAR 2012

John Price has been appointed as a new ASIC commissioner on a three year term. Price has worked as a lawyer at the Australian Securities and Investments Commission (ASIC) for the past 12 years, holding a number of senior positions. He was involved in ...

ASIC, FPA, and FOS address shadow shopper report

ELISE BURGESS | WEDNESDAY, 21 MAR 2012

... intended as an educational tool for the profession to help support continuous improvement," said Peter Kell, ASIC commissioner. "We welcome the opportunity to continue our constructive and close relationship with the FPA to participate in these workshops." ...

AAT confirms ASIC planner ban

ELISE BURGESS | FRIDAY, 16 MAR 2012

... action against critical gatekeepers such as advisers who do not meet their responsibilities," said Peter Kell, ASIC commissioner.

ASIC bans Victorian adviser

CLAIRE MCGREAL | FRIDAY, 2 MAR 2012

... industry to improve overall standards and maintain the confidence of the investing public," said Peter Kell, ASIC commissioner. Mitchell Asset Management has since recovered $200,000 from Petrovic and clients have been reimbursed. Petrovic has the right ...

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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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