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Showing 1511 - 1520 of 3501 results for "compliance"

CBA, ASIC move to resolve AFSL conditions

KANIKA SOOD  |  WEDNESDAY, 10 APR 2019
ASIC has released the final compliance report on the conditions it placed on Commonwealth Financial Planning and Financial Wisdom in 2014. Commonwealth Bank has paid a further $2.3 million to 232 clients advised by five of its advisers, according to ...

YTML expands team, signs new client

ELIZABETH MCARTHUR  |  WEDNESDAY, 10 APR 2019
... platform because it is a truly integrated solution that will enable our network to be more agile while maintaining compliance with their obligations both from a quality advice perspective and a recordkeeping perspective." YTML say that their continued ...

Dealer group acquires bank advice business

JAMIE WILLIAMSON  |  WEDNESDAY, 10 APR 2019
... highly specialised capability with the need for significant ongoing investment to meet the increasing regulatory and compliance requirements," Fennell said. "We believe a dedicated focus, from a specialist provider, with the scale and reach of Bridges ...

Financial advice in 2030: What does it look like?

JAMIE WILLIAMSON  |  TUESDAY, 9 APR 2019
... clients. It will mostly aid transactional advice, such as life insurance and mortgages. "The increased automation of compliance obligations, research and documentation production will free up greater client engagement time for the median adviser in 2030," ...

New SMSF admin platform launches

KARREN VERGARA  |  TUESDAY, 9 APR 2019
... Bob Locke said the cloud-based software solution provides an SMSF service to clients without the burden of keeping up compliance, licensing and auditing requirements. "Practical Systems Super is completely independent of any financial institution or ...

Poor governance spurs calls for directorship caps

JAMIE WILLIAMSON  |  MONDAY, 8 APR 2019
... culture from the top down." "It cannot be based around an attitude of it being a 'box-ticking' exercise for compliance purposes." Estimating the time she spends on board-related matters, Brennan said at least one day a week. She sits on just ...

APRA receives new super powers

KARREN VERGARA  |  FRIDAY, 5 APR 2019
... of millions of Australians and ensure that APRA can take effective action, including addressing underperformance and compliance with the best interests duty. He added the new law was another example of the Government taking action on Commissioner Kenneth ...

MGP looks inward for new leaders

HARRISON WORLEY  |  FRIDAY, 5 APR 2019
... candidates to fill a raft of positions in its executive and distribution teams. Current head of risk management, legal and compliance Craig Giffin has been promoted to chief risk officer. Giffin first joined the group in 2016 as a consultant, and has ...

AMP overhauls wealth leadership

ELIZABETH MCARTHUR, JAMIE WILLIAMSON  |  THURSDAY, 4 APR 2019
... time ASIC conducted surveillance of AMPFP's MDA services and advice business. This involved on-site interviews with compliance personnel about processes and systems, and with advisers who provide MDA services and advice. It also included reviews of documented ...

Superannuation funds flag $113bn merger

KARREN VERGARA  |  THURSDAY, 4 APR 2019
... In 2017, the combined funds had over $60 billion and 770,000 members. Rainmaker executive director of research and compliance Alex Dunnin said the state of Victoria's defined benefit superannuation obligation (via its association of the Emergency Services ...