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Showing 1461 - 1470 of 3501 results for "compliance"

OnePath receives first Life Code sanction

JAMIE WILLIAMSON  |  WEDNESDAY, 17 JUL 2019
OnePath is the subject of the first sanction to be issued by the Life Code Compliance Committee for failure to stop selling a non-compliant product and remediate customers by an agreed deadline. In July 2017 OnePath self-reported its ANZ Loan Protection ...

BT Panorama boosts functionality

ELIZABETH MCARTHUR  |  WEDNESDAY, 17 JUL 2019
... client engagement through detailed reporting, quality data feeds, online functionality and processes that limit room for compliance errors through re-keying. These things are a necessity, not just nice to have," added Vincent. "Adviser feedback is key ...

350 tax practitioners under investigation

ELIZABETH MCARTHUR  |  WEDNESDAY, 17 JUL 2019
... clients, egregious conduct which is considered black economy behaviour, non-lodgement of annual declarations and non-compliance with continuing professional education requirements. A number of these cases came to the attention of the Tax Practitioners ...

Nomura ordered to pay back US $25m

KANIKA SOOD  |  TUESDAY, 16 JUL 2019
... when Nomura had, in fact, already bought a security,' the SEC said. The SEC's orders further found that Nomura lacked compliance and surveillance procedures that were reasonably designed to prevent and detect this misconduct, which inflated the firm's ...

Wealth jobs in demand

HARRISON WORLEY  |  MONDAY, 15 JUL 2019
... between working environments, clients and culture. News is good for paraplanners however, with Hays noting more roles in compliance and remediation - which "paraplaners often like to move into" - were on the way in the wake of the Royal Commission. On ...

Much review about nothing

HARRISON WORLEY  |  FRIDAY, 12 JUL 2019
... shifting the burden of fees from one class of members to another. Additionally, reform drives implementation and ongoing compliance costs which ultimately need to be paid by all or nearly all fund members. "Every inquiry takes the time and energy of ...

Coolabah buys retail fund manager stake

KANIKA SOOD  |  THURSDAY, 11 JUL 2019
... markets." "The existing investment team comprising four portfolio managers, eight analysts and a range of operations, compliance and finance professionals will be expanded to include the four SI product specialists who have worked very closely with the ...

ASIC boosts AFSL application requirements

HARRISON WORLEY  |  MONDAY, 8 JUL 2019
... business references of the same age. Financial advisers will also be impacted, with ASIC set to request non-core proofs of compliance arrangements, programs for monitoring supervision and training of representatives and a risk management statement. Life ...

Boutique advice firms merge

ELIZABETH MCARTHUR  |  THURSDAY, 4 JUL 2019
... was facing capacity issues as a result of the need for her to study to meet FASEA requirements and the increase in compliance. "Over the last four years I have always kept an open mind about what that might look like, but over the past 12 months I had ...

Modern slavery rife across sectors: Fund manager

KARREN VERGARA  |  MONDAY, 1 JUL 2019
... annual statements are made publicly online. The idea is to not "name and shame companies" in the event they adopt a "compliance mindset" and report the bare minimum. Carlsson-Sweeny would rather see firms come forward, disclose the risks and rectify ...