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Showing 1571 - 1580 of 3506 results for "compliance"

Challenger boutique appoints chief operating officer

KANIKA SOOD  |  THURSDAY, 31 JAN 2019
... centralises Ardea's non-investment tasks, Ardea co-founder and principal Stephen Clout said. She will act as a compliance manager, maintain its third-party relationships, and ensure the day-to-day deliverables of the business are met. She will also ...

Advisers question value of best interests duty

DARREN SNYDER  |  WEDNESDAY, 30 JAN 2019
... 300 advisers. Although the statistics above paint one picture, survey responses indicated the formal structure of the compliance regime has given advisers greater confidence their advice is being delivered in the clients' best interest. The best ...

Avenir eyes insto investors

KANIKA SOOD  |  FRIDAY, 25 JAN 2019
... approached by endowment funds in the US who were interested in our strategy but we did not have the operational breadth and compliance at institutional level to take that on," Warner said. The fund has added $5 million in funds under management since ...

FSC extends life code consultation deadline

KARREN VERGARA  |  THURSDAY, 24 JAN 2019
... code to be registered with ASIC. The code is enforced by the AFCA-administered independent body called the Life Code Compliance Committee. "Every aspect of the life insurance industry is under the microscope following the poor behaviour brought to light ...

Advice dealer group seeks ASX listing

JAMIE WILLIAMSON  |  THURSDAY, 24 JAN 2019
... financial planners based Australia-wide, with offices in Melbourne, Sydney, Perth and Brisbane that will provide support, compliance and practice development," the group said. Further, AD Financial Services will also consider investing directly in advice ...

Advice jobs are coming: Recruiter

KANIKA SOOD  |  MONDAY, 21 JAN 2019
... short supply Paraplanners can also 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 movement ...

ASIC cracks down on non-compliant AFSL

JAMIE WILLIAMSON  |  MONDAY, 21 JAN 2019
... since 2003. ASIC's investigation concluded that HNW Planning did not have sufficient processes in place to identify non-compliance by authorised representatives or to ensure they were fulfilling the best interests duty. HNW Planning is now required to ...

Investors rage coup against Aurora

KANIKA SOOD  |  THURSDAY, 17 JAN 2019
... Canberra and/or passed. The Aurora Absolute Return Trust has shrunk to hold $1.8 million after a tough two years with compliance, a rebuffed takeover, falling unit prices and investor retreat. A million dollars crept out of one of its trusts and was ...

AFSL to begin independent review

DARREN SNYDER  |  WEDNESDAY, 16 JAN 2019
... ordered that an Australian Financial Services Licensee appoint an independent expert to review the implementation of its compliance framework. The regulator said it is concerned with the adequacy and effectiveness of Kaz Capital's compliance framework ...

IOOF, ANZ deal not in best interests of members: Morningstar

JAMIE WILLIAMSON  |  WEDNESDAY, 16 JAN 2019
... advisers and funds, and may also be the target of a number of class actions. More proactive regulation by ASIC and higher compliance costs is also expected. As such, the research house has given IOOF a very high uncertainty rating. In regards to stewardship ...