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PETER KELL
Life/Risk
ASIC has permanently banned a NSW insurance broker from providing financial services after he was convicted of fraud....
Financial planning
ASIC has accepted an EU from a former Millennium3 representative, and an AMP representative father-son duo following concerns over their compliance with the law. ...
Superannuation
Omniwealth has paid a $10,200 penalty after ASIC issued an infringement notice that had concerns its website had potentially misleading claims....
Financial planning
A financial planning practice within Charter Financial Planning has paid $10,200 penalty after ASIC found it made misleading representations in an article on its website....
Financial planning
The fall-out from NAB’s planning issues may be adoption of a recommendation for a compulsory planner reference-checking regime....
Life/Risk
ASIC is urging insurers to improve their consumers’ understanding of what their no-claims discount scheme offer....
Financial planning
Serious questions asked about whether NAB appropriately filed breach reports relating to 37 planners with whom it parted company....
Financial planning
ASIC has told a Senate committee it has asked NAB for detals of whistleblower complaints including the names of 37 terminated planners....
Financial planning
ASIC has banned a Queensland based financial adviser from providing financial services for five years for misleading conduct and inappropriate advice....
Financial planning
ASIC deputy chairman, Peter Kell, says the regulator is not yet facing a rush by accountants to be licensed....
Financial planning
Macquarie Equities Limited has completed the two year term of its enforceable undertaking reducing it adviser numbers in Macquarie Private Wealth by 25 per cent....
Financial planning
A former financial adviser has been jailed for defrauding more than 150 of her clients over two decades. ...
Financial planning
A Bundaberg-based building society has agreed to review its lending practices after ASIC raised concerns that it relied too heavily on information from a finance broker....
Life/Risk
QBE will ensure all future communications relating to escalated complaints and dispute resolution will have the company’s branding rather than an external legal firm’s, u...
Funds management
ASIC plans to probe the mortgage lending standards of the Big Four, particularly honing in on interest-only loans. ...
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