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Showing 1331 - 1340 of 3498 results for "compliance"

Dealer group boosts compliance team

JAMIE WILLIAMSON  |  TUESDAY, 17 DEC 2019
A privately-owned dealer group has strengthened its compliance capabilities with a hire from MLC Wealth. Lifespan Financial Planning has appointed Anna Mirzoyan to the newly created role of compliance and technical officer. In her new role, Mirzoyan ...

Cost savings, RC boost digital advice

JAMIE WILLIAMSON  |  MONDAY, 16 DEC 2019
... publication of the Hayne Royal Commission report, Decimal recorded a significant increase in the number of automated compliance checks triggering advice warnings and adviser referrals, demonstrating effective implementation of compliance checks," Sargon ...

Half of all AFSL applications approved

ELIZABETH MCARTHUR  |  MONDAY, 16 DEC 2019
... of the regime." The report offered some insight into ASIC's regulatory approach when it comes to enforcing licensee compliance. ASIC's additional license conditions imposed on IOOF and AMP Financial Planning were highlighted as examples of the regulator's ...

NULIS satisfies ASIC requirements

HARRISON WORLEY  |  MONDAY, 16 DEC 2019
... procedures recommended to it by KPMG, the independent expert charged with assessing and reporting on the adequacy of NULIS' compliance and risk management practices across its retail and wrap super funds. The recommendations covered improvements to NULIS's ...

J.P. Morgan secures mandate extension

ELIZA BAVIN  |  MONDAY, 16 DEC 2019
... services will include the physical safekeeping of assets, and account and administration services such as unit pricing, compliance and securities lending. Nadia Schiavon, head of securities services, Australia and New Zealand, said J.P. Morgan is pleased ...

Chief economist update: Three cheers for Christmas

BENJAMIN ONG  |  MONDAY, 16 DEC 2019
... provisions. "Enforcement mechanism an escalating chain of panels, with the US considering tariffs as final "insurance" for compliance. Deal expected to be signed at the ministerial level (not Trump and Xi) in January. Talks about a phase 2 to begin immediately." ...

Dealer group launches transition support service

HARRISON WORLEY  |  FRIDAY, 13 DEC 2019
... Planning will launch Lifespan Partnership in February 2020, offering firms a suite of AFSL support services including compliance, practice management and responsible manager education and training. Additionally, the partnership will also facilitate new ...

Sam Henderson attempts to set record straight

ELIZABETH MCARTHUR  |  FRIDAY, 13 DEC 2019
... there are good lessons in there to be learned." "If we can assist in bringing the need for advisers to consider their compliance as a high priority, it was worth it. If we can give people having mental health issues a message to say despite how bad it ...

Westpac directors slammed

ALLY SELBY  |  THURSDAY, 12 DEC 2019
... appropriate to report that money transfers with Standard Chartered Bank were not being reported to AUSTRAC; and one where the compliance manager who reported the legal breaches was then moved on in favour of someone with 'more experience'," Medd said. ...

ASIC launches action against AFSL, director

ELIZA BAVIN  |  WEDNESDAY, 11 DEC 2019
... in respect to statements and information required to be disclosed. The regulator also alleges that, contrary to the compliance plan that Theta issues for the Sterling Income Trust, Theta issued five defective PDSs for the trust and failed to take all ...