Search Results | Showing 1491 - 1500 of 3505 results for "compliance" |
| | | ... with one or more third parties, Bouris said. "Going forward, the cost of maintaining YBR's AFSL and associated compliance functions and liabilities would then no longer be borne by the YBR Group," he said. "The restructure of the wealth business ... |
| | | | ... licence conditions on Kaz Capital in January this year following concerns about the adequacy and effectiveness of its compliance framework. Those concerns included how Kaz Capital was monitoring advisers and whether it met its compliance obligations ... |
| | | | ... solutions to three key issues, which are: Monitoring, identifying and analysing financial advertising to determine compliance; Improving the detection of problematic financial advice in datasets; and Demonstrating the capabilities, benefits and costs ... |
| | | | ... the clients would be spread across a large area, minimal reviews are conducted, the review program may be sporadic, compliance is probably not 100% and there may be missing fee disclosure statements and opt-on documents," the firm said. These practices ... |
| | | | ... an authorisation has been granted to one AFS licensee by another it is concerned licensees may not have appropriate compliance measures in place. ASIC said these dual licensees could result in potential risks for consumers. As an example of the risks ... |
| | | | ... arrangements in place by July 1. "The tight timelines do create the risk that work around solutions are adopted to ensure compliance while more robust solutions are rolled out to systems and technology," he said. Steffanoni said significant pressure ... |
| | | | ... insurtech innovation, uptake remains inhibited by operational constraints, legacy systems, technological readiness, compliance issues and concerns of privacy and security. While the majority of insurtechs are now working with incumbent insurers, Parton ... |
| | | | ... don't trust big funds." The ATO collects data on SMSF wind-ups initiated by either trustees or as a result of ATO compliance and cleansing activity. |
| | | | ... customers across a range of channels such as text, email, web chat, phone and sometimes in-person. Unlike last year, compliance and risk, and technology do not rank as highly on the investment agenda. Very few insurers are also less focused on global ... |
| | | | ... complex regulatory change programs to restore trust in the sector," Pollari added. According to KPMG data, risk and compliance expenses have risen to account for almost 40% of the big banks' total investment expenditure for the first half of this year. ... |
|