Search Results | Showing 1561 - 1570 of 3506 results for "compliance" |
| | | ... join the board of Westpac in March as non-executive directors, and both are set to be appointed to the board risk and compliance committee. Harker is the former managing director and chief executive of Morgan Stanley in Australia, and led the firm's ... |
| | | | ... by Hayne in the report, with the Commissioner noting CBA had been confronted directly about why it had conduct and compliance issues in a manner not shared by its contemporaries. "I was persuaded that Mr Comyn...is well aware of the size and nature of ... |
| | | | ... starting point should be "why not litigate?" instead of the "negotiate" tack the regulator has traditionally taken. Compliance is not "voluntary" and the companies that ASIC oversees are not its "clients", Hayne said. He asks that ASIC make it a policy ... |
| | | | Financial advice licensees are not doing enough to communicate the background of advisers. As such, compliance with the Australian Banking Association's reference checking protocols should be mandatory for all advice licensees, the Royal Commission ... |
| | | | ... at 4.10pm today, Longstaff said Commissioner Kenneth Hayne made it clear he's not interested in more laws to govern compliance, rather it's about where do firms sit in regards to community expectations. "It's not enough to know how they [firms] treat ... |
| | | | ... education requirements. Paraplanners can look forward to salary raises and more opportunities, as companies rush to fill in compliance and remediation roles created as a result of the Royal Commission. "Another major trend this half will be the continued ... |
| | | | ... first was delivered in July 2018. ASIC said the second report raised concerns around CFPL's remediation program and compliance capabilities, saying there remains a heavy reliance on manual controls which "have a higher inherent risk of failure due ... |
| | | | ... this backdrop, as they are cycling low bad debt charges and face higher regulatory capital, and higher funding and compliance costs," she told a media briefing recently. Figures from the Australian Shareholders' Association show retail investors ... |
| | | | ... 2003. Firkins has worked as an auditor and been involved with the aviation industry. He has an understanding of complex compliance and risk management systems, is able to engage with people and has a healthy approach to governance and strategy, the fund ... |
| | | | ... Capital, a managed discretionary account provider specialising in trading services and advice, uncovered widespread non-compliance practices. Jade Capital advertised misleading information on returns, fees and costs, performance history and results relating ... |
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