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Showing 1351 - 1360 of 3498 results for "compliance"

FASEA under pressure on managed accounts

ELIZABETH MCARTHUR  |  WEDNESDAY, 4 DEC 2019
... is potential conflicts," Glenfield said. "It's about stepping back from those potentials and looking at actual compliance with the code." Toby Potter, chair of IMAP, revealed to Financial Standard that IMAP was invited to provide an example to FASEA ...

Equity Trustees renews custody mandate

ALLY SELBY  |  WEDNESDAY, 4 DEC 2019
... wealth services funds. The new agreement will see State Street provide custody, fund accounting, regulatory reporting, compliance and tax services across a range of Equity Trustees managed investment schemes and trusts. State Street Global Services Australia ...

Cashwerkz, Complii partner to automate compliance

ALLY SELBY  |  TUESDAY, 3 DEC 2019
... fintech Cashwerkz has partnered with Complii FinTech Solutions; a secure, centralised digital platform, to automate the compliance process for stockbrokers and financial advisers. Complii software automates, records and reports on regulation requirements ...

HUB24 announces new board appointment

ALLY SELBY  |  TUESDAY, 3 DEC 2019
... Stringer will join the HUB24 board from February 2020, using her legal expertise to assist the company's audit, risk and compliance committee. Prior to this appointment, Stringer worked for several national and international law firms, as well as serving ...

Sargon opens door to trustee tech

ELIZA BAVIN  |  TUESDAY, 3 DEC 2019
... "The Sargon Trustee Cloud delivers operating efficiencies and scale, lowers costs, reduces systemic risk and improves compliance outcomes - enabling funds to focus on their members and growth." Sargon chief executive Phillip Kingston, said the SaaS model ...

Non-compliant personal advice rife at super funds: ASIC

JAMIE WILLIAMSON  |  TUESDAY, 3 DEC 2019
... ASIC's Report 639: Financial advice by superannuation funds shows less than half of the files reviewed demonstrated full compliance with the best interests duty and related obligations. Of those reviewed, 36% of files did not demonstrate compliance ...

New tool launches to help FASEA code compliance

ELIZABETH MCARTHUR  |  MONDAY, 2 DEC 2019
... opportunity. One such organisation is MyNextAdvice, which has launched a solution to help licensees monitor adviser compliance. "ASIC has mandated that AFS Licensees are responsible for monitoring adviser compliance with the code until the Government ...

Update on FASEA code guidance on the way

ELIZABETH MCARTHUR  |  FRIDAY, 29 NOV 2019
... staff, but maintained that it would be able to undertake the task of providing more clarity on the code before the compliance deadline. "I have a very strong working team," Glenfield said. "It is what we do, we don't have other functions." "We've ...

FASEA compliance has silver lining

KANIKA SOOD  |  FRIDAY, 29 NOV 2019
... Suzanne Haddan, managing director of BFG Financial Services shared how advisers can approach the workload of FASEA compliance to their benefit. "At the risk of upsetting some people, FASEA code of ethics should be the guiding light in this process of ...

Super fund PDSs to include single cost of product figure

HARRISON WORLEY  |  FRIDAY, 29 NOV 2019
... associated legislative instrument were drafted to make the regime simpler and more practical for industry and to promote compliance by issuers, with Press adding the changes should address industry concerns, deal with practical issues and offer more ...