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Showing 1 - 10 of 28 results for "ASIC commissioner Peter Kell"

Aussie asset manager cops ASIC intervention

HARRISON WORLEY  |  WEDNESDAY, 27 JUN 2018
... her actions were facilitated by the various senior and conflicting positions she held at the time. ASIC commissioner Peter Kell said the regulator was committed to ensuring the separation and security of fund assets. "The additional conditions imposed ...

ASIC hands down permanent and four year bans

KERRIE SYDEE  |  FRIDAY, 16 SEP 2016
... be permanently banned as a result of his convictions involving dishonest and fraudulent conduct. ASIC commissioner Peter Kell said Hill's misconduct was very serious: "ASIC will ban people from the finance industry who act dishonestly and place personal ...

ASIC hands down more permanent bans

JAMIE WILLIAMSON  |  WEDNESDAY, 14 SEP 2016
... services or credit laws will result in action by ASIC to remove them from these industries," said ASIC commissioner Peter Kell.

ASIC bans ex-Macquarie Equities trader

ALEX BURKE  |  WEDNESDAY, 17 AUG 2016
... accounts even when this was not the case; in these instances he also created false records of advice. ASIC commissioner Peter Kell said: "Investors should feel confident that financial advisers are acting within the authority given to them by their licensee ...

ASIC warns super trustees

DARREN SNYDER  |  TUESDAY, 15 SEP 2015
... superannuation trustees about the promotion of member direct or self-managed investment options. ASIC commissioner Peter Kell said that occasionally the promotion of self-managed investment options gave the impression members were provided the same level ...

ASIC bans Macquarie representative

DARREN SNYDER  |  TUESDAY, 26 MAY 2015
... undertaken by the company and as agreed under an enforceable undertaking accepted by ASIC in January 2013. ASIC Commissioner Peter Kell said investors should feel confident that financial advisers are acting within the authority given to them by their ...

ASIC admits wrongdoing in Senate hearing

LAURA MILLAN  |  FRIDAY, 11 APR 2014
... allegations of poor advice, document forgery and fraud within Commonwealth Bank's financial planning unit. ASIC commissioner Peter Kell admitted that "it took us too long to move to the next step" when it became apparent that Commonwealth Financial Planning ...

Westpac exec gets ASIC ban after preying on elderly's finances

ALICE URIBE  |  WEDNESDAY, 12 MAR 2014
... was not of good fame or character, making him an unsuitable person to provide financial services. ASIC Commissioner Peter Kell said St Pierre's misconduct was very serious. "ASIC will ban people from the finance industry who act dishonestly and place ...

Charterhill assets frozen

HARRY PAGE  |  THURSDAY, 6 FEB 2014
... obtain good quality advice through gatekeepers such as accountants and financial planners," said ASIC commissioner Peter Kell. Lending Solutions International, Nova Real Estate, EJ Property Developments and Financial Wellness are the companies in the ...

ASIC raises red flag on capital protected products

LAURA MILLAN  |  THURSDAY, 2 MAY 2013
... particularly concerned about potentially misleading or unhelpful claims of conditional protection," ASIC Commissioner Peter Kell said.
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