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Showing 1121 - 1130 of 1797 results for "Monitor"

Advisers must attend ethics classes, say ISA and AIST

JAMES FERNYHOUGH  |  WEDNESDAY, 10 SEP 2014
Financial advisers should be forced to undergo mandatory ethics classes as part of a comprehensive overhaul of the professional standards of the industry, the not-for-profit superannuation industry has argued. In a joint submission to the Parliamentary ...

Body needed to monitor adviser competency: FSC

LAURA MILLAN  |  TUESDAY, 2 SEP 2014
The financial advice sector is in need of change and a new Advice Competency Standards Board should lead the transformation, according to the Financial Services Council (FSC). The new body would oversee the development of competency standards, adviser ...

Future Fund appoints CIO from within

LAURA MILLAN  |  MONDAY, 1 SEP 2014
The Future Fund has appointment its former head of infrastructure and timberlands as chief investment officer. Raphael Arndt will start on his new role immediately and will be responsible for leading the investment team in developing research, due diligence ...

Centrepoint Alliance returns to growth

MARK SMITH  |  MONDAY, 25 AUG 2014
Centrepoint has seen its profits climb back into positive territory in the full year to 30 June reporting an after tax profit of $3.3 million, up from a loss of $7.8 million in 2013. Underlying profit before tax increased 43% to $8.3m. The company has ...

'As expected' changing expectations

BENJAMIN ONG  |  THURSDAY, 31 JUL 2014
By all indications, Wall Street should have closed on the hop last night, but it didn't. The S&P 500 index ended practically unchanged - up 0.01% -- despite the FOMC announcing it's steady as she goes (as expected) and the economy rebounding in the ...

ASIC puts an end to PIS monitoring program

LAURA MILLAN  |  TUESDAY, 29 JUL 2014
The adviser monitoring program for Professional Investment Services (PIS) has concluded with the Australian Securities and Investments Commission (ASIC) reporting "a significant improvement in its compliance and audit functions." The Centrepoint-owned ...

ASX agrees to changes after ASIC review

MARK SMITH  |  MONDAY, 28 JUL 2014
The Australian Securities Exchange (ASX) has agreed to make changes to its operations to address a number of issues highlighted by the Australian Securities and Investments Commission (ASIC) in a recent review. The changes will affect the way the ASX ...

Macquarie tight-lipped on EU details

LAURA MILLAN  |  FRIDAY, 25 JUL 2014
Macquarie Group said that the Macquarie Private Wealth enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC) is "on track," but refused to give more details about the process. An investor presentation made public ...

Regulators relaxed about social media: IOSCO

STAFF WRITER  |  FRIDAY, 25 JUL 2014
... social media as part of the advice channel. The survey was conducted during 2013 and focused heavily on how regulators monitor the use of social media and whether they are introducing special regulations governing it. In a statement, IOSCO said; "The ...

FSI recognises the "powerful force" of tech

LAURA MILLAN  |  WEDNESDAY, 23 JUL 2014
... regulation on an exceptions basis." The document also considered the possibility of creating a public-private sector body to monitor and advise the government on technology and innovation. The report admitted that technology changes are "difficult to ...