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|Showing 71 - 80 of 100+ results for "Peter Kell"|
|... dishonest and a betrayal of client trust, while also deceiving PIS and the trustee of the super fund. ASIC deputy chair Peter Kell said: "ASIC will take action to remove dishonest persons from the financial services and credit industry to protect the ...|
|... Protect Ensure's business-related expenses. Some investors lost their invested funds entirely. ASIC deputy chairman Peter Kell said: "ASIC will take action against financial advisers who mislead their clients. We will investigate and take action of such ...|
|... had signed in previous years and falsifying dates on the copied items. Commenting on the case, ASIC deputy chairman Peter Kell said: "Financial advisers are important gatekeepers who must act honestly to increase broader public confidence in the financial ...|
|... switch existing life insurance and superannuation products must be in the client's best interest," ASIC deputy chair Peter Kell said. "Where there is nothing in the client's relevant circumstances to indicate that the switch would be beneficial, ASIC ...|
|... parties to ensure that the written off loans are not subject to further collections activities. ASIC deputy chairman Peter Kell said this outcome is demonstrative of the staggering cost of poor business practices and should act as a warning to other ...|
|... uphold the highest standards of conduct, so as to maximise their confidence in the financial system," ASIC deputy chair Peter Kell said. "Mr Griggs' conduct fell well and truly short of that standard," he added.|
|... review process of Mr Bishop's files at the time and has fully compensated all impacted clients." ASIC deputy chair Peter Kell said: "Advice needs to be tailored to the client's needs and circumstances, and an advice provider must not lose sight of the ...|
|... Financial Planning audit in March 2015. McCarthy did not provide any of the false documents to clients. ASIC deputy chair Peter Kell said: "ASIC is committed to raising standards of conduct and compliance in the wealth management industry and will act ...|
|... the interests of his clients ahead of his own, when he knew that there was a conflict of interest ASIC deputy chair Peter Kell said: "Financial advisers must put their clients' interests ahead of their own. Super switching that provides little benefit ...|
|... conduct falls far short of the high standards expected of those in the financial services industry," ASIC deputy chairman Peter Kell said. "ASIC will continue to protect consumers from advisors who engage in misleading conduct and place their interests ...|
IOOF has appointed ClearView's chief risk officer to a newly created role, with ClearView nabbing the former chief of risk for Commonwealth Bank's wealth management arm.
Verve Super has launched a gender diversity index and will subsequently change how it allocates members' funds based on how Australian companies perform against the index.
Plenary has bolstered its funds management business, nabbing seven professionals who all worked on one AMP Capital fund.
The corporate regulator is fighting tooth and nail to make National Australia Bank pay a hefty penalty for charging customers fees in return for no service.
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