Search Results | Showing 111 - 120 of 464 results for "Supervision" |
| | | ... however, were unsuccessful with the Federal Court finding that IOOF did not contravene the Superannuation Industry Supervision Act. |
| | | | ... competency exam. ASIC praised the Australian Taxation Office for its assistance under the Superannuation Industry (Supervision) Act (SIS Act). "ASIC and the ATO work closely together as co-regulators of SMSF auditors," ASIC said. "The ATO monitors SMSF ... |
| | | | ... formulate a forward looking compliance plan in a bid to prevent rewriting conduct in the future and improve training and supervision of advisers. Acknowledging the court decision, AMP said: "While insurance rewriting was not a common practice by financial ... |
| | | | ... to step into this gap a decade ago. They offer algorithm-driven financial planning services with little to no human supervision." In 2017, assets under management in the robo-advice sector amounted to US$240 billion globally, according to the Statista ... |
| | | | ... months. At the time, Sargon said the acquisition would take it to over $53 billion of assets under trusteeship and supervision. Grow Super is one of the new funds that used Diversa Trustees as its trustee. As of April end last year, Sargon had the biggest ... |
| | | | ... Network had additional licence conditions imposed after ASIC surveillance spurred concerns the licensee had inadequate supervision processes in place to ensure advice provided by its representatives was in the best interests of clients. It came after ... |
| | | | ... market-making quotes is a reference price or other information that is publicly available Internal compliance and supervision arrangements are adequate Information barriers are established to ensure decisions to buy or sell units are not made by persons ... |
| | | | ... satisfy one or more of the trustee's obligations contained in a covenant set out in the [Superannuation Industry (Supervision)] Act," APRA said. The regulator said the decision recognises IOOF's progress in strengthening governance structures and management ... |
| | | | ... really important to understand that the heat maps are a point in time analysis, which is a useful tool for APRA in its supervision activities, but it doesn't tell the whole story when it comes to members' retirement outcomes," Loane said. "Particularly ... |
| | | | ... services industry is concerning. "Last month, APRA published its plans to significantly scale up the intensity of its supervision in this area," he said. "Our intensified approach establishes a supervisory framework and methodology designed to strengthen ... |
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