Search Results | Showing 1001 - 1010 of 6457 results for "Regulatory" |
| | | The Australian Prudential Regulation Authority (APRA) has released its finalised prudential practice guide to help superannuation trustees, banks and insurers strengthen their management of operational risk and improve business continuity planning. ... |
| | | | The Australian Financial Complaints Authority (AFCA) is seeking feedback from the financial services industry on its proposed annual Approach document schedule for financial year 2024-2025. AFCA Approach documents support consumers, small businesses ... |
| | | | ... VentureCrowd acknowledged the stop order and confirmed the campaign was promptly closed upon notification. "We respect ASIC's regulatory role and are committed to addressing their concerns. Our CSF campaigns are meticulously planned to ensure compliance ... |
| | | | The Super Members Council (SMC) has revived its predecessor's calls to extend anti-hawking legislation, slamming a sub-set of financial advisers using social media posts and cold calling to drum up business. Prior to its merger, the Australian Institute ... |
| | | | ... emerging technologies such as AI and machine learning," he said. "Wealth management firms continue to focus on the regulatory landscape, and smaller practices being acquired has stifled growth and recruitment. Funds management recruitment has been stable ... |
| | | | ... and unit pricing, custody, administrative services, alternative investment services, taxation services, financial and regulatory reporting, performance and analytics, investment mandate monitoring and securities lending. Brighter Super chief financial ... |
| | | | Australian Unity Funds Management has been told to stop offering its Select Income Fund, with ASIC saying retail clients are unlikely to understand the questionnaire used to determine whether they would be in the target market. ASIC made an interim ... |
| | | | The Australian Securities and Investments Commission (ASIC) has cancelled the Australian financial services licence (AFSL) of retail over-the-counter (OTC) derivatives issuer XTrade. XTrade offered clients opportunities to trade in contracts for difference ... |
| | | | The Federal Court has absolved Block Earner from paying a penalty for trading without a financial services licence, which ASIC believes should have been $350,000. While Judge Jackman determined that while Block Earner, which invested in cryptocurrency ... |
| | | | ... Cole said. "Notwithstanding the highly outsourced nature of the superannuation industry, accountability for meeting regulatory obligations sits with trustees. "APRA expects trustees to maintain appropriate oversight of service providers, which includes ... |
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