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Showing 1161 - 1170 of 3496 results for "compliance"

Sales, reporting top buy-side pandemic struggles

KANIKA SOOD  |  FRIDAY, 14 AUG 2020
... highest degrees of concern. More than half of sell-side participants (51%) rated 8-10 for both risk management and compliance, and trading. By contrast, 48% and 42% of the buy-side participants scored the two areas on the 8-10 scale. COVID-19 disruption ...

Top performing Aussie equity funds unveiled

ANNABELLE DICKSON  |  FRIDAY, 14 AUG 2020
... second at 16.7% and the Lincoln Wholesale Australian Growth Fund at 16.6%. Rainmaker executive director, research and compliance Alex Dunnin said: "The results show that fund managers are very efficient at running Australian equities, exceeding the index ...

Chief economist update: Second wave threatens an oil spill

BENJAMIN ONG  |  FRIDAY, 14 AUG 2020
... according to OPEC, a "conformity level of 95% in June 2020, the highest since the inception of the DoC (Declaration of Compliance) in January 2017, tilted crude oil's supply/demand equation in favour of higher prices (at best) or stable prices at ...

Class announces $4.2m acquisition

ELIZA BAVIN  |  THURSDAY, 13 AUG 2020
... this year and be earnings accretive in FY21. Smartcorp launched Australia's first online company ordering and ASIC compliance system in 2003, operating a platform that has delivered over 500,000 documents to accounting, professional services firms and ...

Embattled AMP sees wealth earnings dive

ELIZA BAVIN  |  THURSDAY, 13 AUG 2020
... clients." AMP added the remaining grandfathered commissions will cease in the second half and ahead of 1 January 2021 in compliance with the legislative requirements. AMP said client remediation is on track to be 80% complete, and aims to be fully complete ...

Synchron compliance lead resigns

ELIZABETH MCARTHUR  |  WEDNESDAY, 12 AUG 2020
Synchron's general manager of legal, risk and compliance Michael Jones has resigned, with a new appointment to lead the dealer group's compliance. Synchron director Don Trapnell thanked Jones for his contribution to the dealer group. "We have ...

Brisbane broker permanently banned

ALLY SELBY  |  TUESDAY, 11 AUG 2020
... AFCA requiring him to pay an amount to the complainants. In addition, ASIC found he had also failed to lodge an annual compliance certificate, maintain a trust account and did not notify ASIC of a change in an approved external dispute resolution scheme. ...

Chief economist update: Ardern's ardour

BENJAMIN ONG  |  TUESDAY, 11 AUG 2020
... Jacinda imposed Stage 4 restrictions - that closed down all non-essential services - on March 25. New Zealanders general compliance allowed the government to remove restrictions -- except border controls -- less than three months later (on June 8). "The ...

Pershing convicted for client breaches

ANNABELLE DICKSON  |  THURSDAY, 6 AUG 2020
... markets. If licensees don't take them seriously, they risk criminal conviction. ASIC will continue to closely supervise compliance with these laws and take action against any breaches," Armour said.

Chief economist update: Could COVID-19 dissenters be correct?

BENJAMIN ONG  |  TUESDAY, 4 AUG 2020
... to wealth. Certainly conspiracy theorists - right or wrong - could sacrifice six weeks of quietude and even grudging compliance. We can discuss the rights and the wrongs once we get to other side of this pandemic.