Search Results | Showing 1361 - 1370 of 3500 results for "compliance" |
| | | ... 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 ... |
| | | | ... steps licensees should take to ensure their advisers comply, specifically the guidance that they take a facilitated compliance approach with respect to complying with Standards 3 and 7 as FASEA continues to refine its guidance until a single disciplinary ... |
| | | | ... retirement saving system is cheap, as debate breaks out. Alex Dunnin, Rainmaker executive director of research and compliance, has called on Australia's superannuation aficionados to take a closer look at the OECD figures at the centre of an industry-wide ... |
| | | | ... clients with less than $200,000 in their SMSFs to use them for property purchases, and would always double-check his compliance. "We definitely wouldn't look at those clients. I am not an adviser now, the AFSL is still running. The decision matrix ... |
| | | | A Melbourne-based self-licensed financial planner has shared how much her practice spends on compliance for every $100 of its revenue. Speaking at the FPA Congress, Angela Martyn of Personal Financial Services said $4.50 for every $100 of revenue is ... |
| | | | ... meaningful and more engaging one for the client. It's about prioritising what's best for the client, rather simply ticking compliance and legal requirements," De Gori added. The SOA working group consists of FPA members, regulators, compliance experts ... |
| | | | ... potentially still charging fees long after ongoing fee arrangements have been terminated, ASIC has found. The report, Compliance with fee disclosure statement and renewal notice obligations, focused on whether the fee disclosure documents, provided by ... |
| | | | ... released in October. Earlier this week, ASIC announced it will not be monitoring or enforcing individual advisers' compliance with the code. Under the Corporations Act 2001, ASIC does not have a role as a code monitoring body and is specifically prevented ... |
| | | | The role of paraplanners in compliance has been highlighted at the FPA Congress, with discussion turning to the FASEA Code of Ethics which continues to present complications. Nadia Docker is director, client engagement at Integrity Compliance and part ... |
|