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Showing 61 - 70 of 73 results for "Deputy chairman Peter Kell"

ASIC has risk advice in its sights

MARK SMITH | TUESDAY, 15 OCT 2013

Australian Securities and Investments Commission (ASIC) deputy chairman Peter Kell has the retail insurance sectors in his sights, announcing that the regulator will conduct major surveillance of the sector. Kell said ASIC is in the process of gathering ...

Read the rules, says ASIC

MARK SMITH | TUESDAY, 15 OCT 2013

ASIC deputy chairman Peter Kell reassured advisers at the AFA conference that the FoFA best interest duty is not as strict as people think. He reminded them to read the regulatory guidance before jumping to conclusions. "We're just over three months ...

ASIC concerned over "pockets" of poor SMSF advice

LAURA MILLAN | MONDAY, 2 SEP 2013

... identified examples of poor SMSF advice across the industry through its SMSF taskforce headed by himself and deputy chairman Peter Kell. ASIC has found cases of inadequate or lack of replacement product disclosure, inadequate or lack of insurance recommendations ...

ASIC bans broker for deceptive conduct

JAMES FERNYHOUGH | TUESDAY, 6 AUG 2013

... be banned from providing financial services this year, and the 18th to receive a permanent ban. ASIC deputy chairman Peter Kell said, 'ASIC will not tolerate this type of behaviour. Those who engage in misleading and deceptive conduct will be removed ...

CBA and HSBC change 'misleading' ads

MARK SMITH | WEDNESDAY, 17 JUL 2013

... misleading due to the risk of capital loss with certain HSBC structured products being promoted. ASIC deputy chairman Peter Kell said ads which created unrealistic expectations were unacceptable. "We will continue to monitor industry practice in the ...

ASIC slaps permanent ban on insurance claim manager

MARK SMITH | WEDNESDAY, 10 JUL 2013

... industry if they fail to comply with financial services laws and breach their employer's trust," ASIC deputy chairman Peter Kell said. Loy has the right to appeal to the Administrative Appeals Tribunal for a review of ASIC's decision.

Adviser uses dead people to earn commission

JAMES FERNYHOUGH | FRIDAY, 5 JUL 2013

... thing and are held to account. When they fall short, ASIC will take direct enforcement action," ASIC deputy chairman Peter Kell said. ASIC's investigation in Vyas is continuing.

ASIC proposes stricter training requirements for advisers

LAURA MILLAN | MONDAY, 24 JUN 2013

... standards play an important role in ensuring that investors and consumers receive quality advice," ASIC deputy chairman Peter Kell said. The consultation paper proposes to retain the current training standards as "base level" standards and to introduce ...

ASIC bans former CEO for 'misleading activities'

JAMES FERNYHOUGH | FRIDAY, 7 JUN 2013

... information provided about their products is factually correct and does not mislead consumers," ASIC deputy chairman Peter Kell said. Priestley's three-year ban took effect on 3 June 2013.

ASIC appeals Macquarie's Storm settlement

MARK SMITH | MONDAY, 27 MAY 2013

... class action members who did not, or were unable to, contribute to the funding of the action," ASIC deputy chairman Peter Kell said. ASIC's appeal relates to the distribution of the money, which is not in proportion to losses suffered, whether a funders' ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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