Search Results | Showing 1351 - 1360 of 3498 results for "compliance" |
| | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... "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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
| | | | ... 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 ... |
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