Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 1401 - 1410 of 3500 results for "compliance"

ASIC imposes AFSL conditions on IOOF

JAMIE WILLIAMSON  |  MONDAY, 28 OCT 2019
... RSE functions. In granting the variation, ASIC imposed additional conditions in relation to governance, structure and compliance. Under the conditions, IISL is required to have a majority of independent directors with skills and background relevant to ...

IOOF struck by outflows, former chair resigns

ELIZA BAVIN  |  FRIDAY, 25 OCT 2019
... industry-wide impacts for affecting it's adviser business, including meeting FASEA standards, additional governance and compliance requirements and changed to fee arrangements. "Maintaining positive inflows with the significant range of external ...

Chief economist update: Oil to slide into 2020

BENJAMIN ONG  |  THURSDAY, 24 OCT 2019
... things will be clearer in November" and that "they want to make sure that countries like Nigeria and Iraq reach 100% compliance first as they have promised". But even with deeper cuts and 100% compliance from all involved, the International Energy Agency ...

Cbus veteran moves to APRA

ELIZABETH MCARTHUR  |  MONDAY, 21 OCT 2019
... experience working at Cbus has jumped to the regulator. Angela Thurstans was head of governance (company secretary) and compliance at Cbus and is now risk specialist, governance at the Australian Prudential Regulation Authority. Before moving into the ...

FASEA clears up code of ethics

ELIZA BAVIN  |  MONDAY, 21 OCT 2019
... accompanied by case studies demonstrating the appropriate and inappropriate actions of advisers and include acting in compliance with all applicable laws, acting with integrity and avoiding conflicts of interests. Under the new code advisers will need ...

How much Future Fund spends in fees

KANIKA SOOD  |  FRIDAY, 18 OCT 2019
... gone up from 1.31% three years ago to 1.42% in the most recent period. Rainmaker executive director of research and compliance Alex Dunnin said it's worth contrasting these investment costs with those paid by super funds which average around 0.7%. ...

ASIC grants compliance scheme relief

HARRISON WORLEY  |  WEDNESDAY, 16 OCT 2019
ASIC will grant AFS licensees with relief from the obligation to ensure their financial advisers are covered by a compliance scheme. As part of the government's decision late last week to accelerate the establishment of a single disciplinary body for ...

Broker fined for lavish entertainment

ELIZABETH MCARTHUR  |  MONDAY, 14 OCT 2019
... brokerage income was allocated to entertainment. But, Tullett Prebon considered the name passing business low risk from a compliance perspective and focussed its compliance attention on matched principal broking. Wash trades, the FCA alleged, generated ...

SMSFs not for everybody: ASIC

HARRISON WORLEY  |  MONDAY, 14 OCT 2019
... said. "As the trustees of their own fund, SMSF investors must remember that they are responsible for their fund's compliance with the law, even if they pay a professional to help."

ASX updates listing rules

ELIZA BAVIN  |  FRIDAY, 11 OCT 2019
... Australian Securities Exchange has updated its listing rules, boosting its ability to crack down on rule breakers. ASX chief compliance officer Kevin Lewis said the changes are designed to improve disclosures to the market, make the listings rules easier ...