Search Results | Showing 31 - 40 of 3019 results for "Compliance" |
| | | ... documents from a person or a company. If a person fails to comply with such a request, it can then certify that non-compliance to the Court and seek orders for the required documents. In this case, Provide Capital alleged that ASIC failed to include ... |
| | | | ... largest financial firms attached to over 60% of the consumer and small business complaints made. "The high level of compliance with this new requirement is encouraging. Firms are reminded of the need to meet this reporting requirement twice per year. ... |
| | | | ... Finder Earn ceased operating on 24 November 2022. Commenting on the decision, ASIC executive director enforcement and compliance Tim Mullaly said: "ASIC pursued this matter because we considered that this product was being offered without the appropriate ... |
| | | | ... acted against nine SMSF auditors where it believed they did not meet the required standards, including concerns with compliance and assurance standards, independence, registration conditions, and not being a fit and proper person. Of those nine, five ... |
| | | | ... initiative to provide transparency and better coordination in how it regulates financial services firms to alleviate their compliance costs and burdens. The Financial Sector Initiatives Regulatory Grid wants to give financial services providers better ... |
| | | | ... ration as a result of the removal of duplication of expenses such as ASX listing fees, share registry fees, audit fees, compliance costs, and other public listed company costs, as well as a larger pool of assets across which to spread expenses," Wilson ... |
| | | | ... portfolios through InvestSMART's professionally managed accounts. The latter is providing its back-end administrative, compliance, and technological platform. In an ASX announcement, InvestSMART anticipated "significant growth potential" for its white ... |
| | | | ... oversight. Before that, she spent seven years with Perpetual as a business unit manager, working in client management and compliance. She is a chartered accountant and has also worked with Grant Thornton and BDO Nelson Parkhill. "We are delighted to ... |
| | | | ... succession planning, training and professional development, and business coaching. Only 5% of BDMs assist advisers with compliance and monitoring support, while 55% of PDMs offer this support. The majority (64%) said they spend too much time performing ... |
| | | | ... retirement. During this time, she advised Jeremy Cooper, head of retirement income. Haqqani previously worked as a compliance manager for RBC Global Asset Management and a product and relationship specialist at EQT Funds Management. She spent five years ... |
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