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Showing 1341 - 1350 of 3498 results for "compliance"

ASIC lifts ban on new opaque active ETFs

KANIKA SOOD  |  WEDNESDAY, 11 DEC 2019
... that: The input for 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 ...

Risk roles on the rise: SEEK

ALLY SELBY  |  WEDNESDAY, 11 DEC 2019
... key trends will dominate the employment sector over the coming year. The employment platform predicts that risk and compliance will be a core focus for the private sector in 2020, thanks to more active regulatory bodies. Other key trends in the report ...

ASIC suspends Melbourne-based AFSL

ELIZA BAVIN  |  WEDNESDAY, 11 DEC 2019
... has failed to lodge it's accounts and audit report as a licensee for the year ending 30 June 2018, lodge reports or compliance plan auditor reports for the registered managed investment schemes it operates or notify ASIC of changes to its external dispute ...

Elders FP to shutter

JAMIE WILLIAMSON  |  TUESDAY, 10 DEC 2019
... As a small-scale advice group, the company said it was difficult to generate the income required to cover increasing compliance costs. "EFP has conducted a review of its business and had identified a potential way forward for EFP and its adviser network. ...

Advice dealer group rebrands

HARRISON WORLEY  |  MONDAY, 9 DEC 2019
... will benefit from increased transparency, operating efficiencies and scale, lower costs, reduced risk and improved compliance outcomes. Donat noted a more complex regulatory environment left clients in need of a "progressive partner" as they try to simultaneously ...

AMP cuts ongoing advice agreements

ELIZABETH MCARTHUR  |  FRIDAY, 6 DEC 2019
... factored in a range of issues including client sentiment, pending legislative change, operational matters and increasing compliance requirements," AMP Australia chief executive Alex Wade said. "We think annual agreements best serve the interests of clients ...

Bill to defer adviser education standards tabled

ELIZABETH MCARTHUR  |  THURSDAY, 5 DEC 2019
... Assent. The amendments were cited as minor in nature and therefore unlikely to have a revenue impact and the potential compliance cost impact was expected to be minimal. These changes, which advice associations including the Association of Financial ...

Why joint effort is required in advice

ELIZABETH MCARTHUR  |  THURSDAY, 5 DEC 2019
... message about what the problems are facing the industry, he said, was critical in getting the recent extensions on compliance with FASEA's educational requirements. "We're collaborating to provide consistent messaging on what the solution should ...

Super funds to crack 13% by year end, retail leading

KANIKA SOOD  |  THURSDAY, 5 DEC 2019
... seeing is the compounded effect of the rally that happened since then," Rainmaker executive director of research and compliance Alex Dunnin said. "These results show us yet again that superannuation has this uncanny knack of surprising on the upside." ...

Mercer hires from industry fund

ELIZABETH MCARTHUR  |  THURSDAY, 5 DEC 2019
Mercer has appointed a chief risk and compliance officer who previously headed up risk for an $80 billion industry fund. Ruby Yadav steps into the role in Mercer's Melbourne office at the start of February as part of the Pacific leadership team. ...