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Showing 1631 - 1640 of 3506 results for "compliance"

Advisers choose their own journey on BT hub

DARREN SNYDER  |  FRIDAY, 2 NOV 2018
... party providers to support advisers' business capability." These third parties provide services including research, compliance support, training, professional indemnity insurance and advice software support. BT Open's pricing framework means ...

FPA and AFA aim to administer adviser standards

DARREN SNYDER  |  FRIDAY, 2 NOV 2018
... Planning Association of Australia and the Association of Financial Advisers are putting cases forward to manage adviser compliance schemes resulting from the industry's new education and ethics standards. The FPA told its member base it has created ...

Assistant Treasurer warns super funds to lift engagement game

KARREN VERGARA  |  FRIDAY, 2 NOV 2018
... portals and see if the new recruit is an existing member of a super fund, Robert said. Rainmaker director of research and compliance Alex Dunnin said while the ATO and Fairwork Act focus on compliance and the "how, what amount and when super should be ...

NAB signals more bad advice remediation

KARREN VERGARA  |  THURSDAY, 1 NOV 2018
... uncertain," it said. On 12 October 2018, ASIC announced it will expand its activities to include an industry-wide review of compliance with requirements for fee disclosure statements and renewal notices in the financial advice sector. While this is still ...

Treasury delays CIPR timetable

KARREN VERGARA  |  WEDNESDAY, 31 OCT 2018
... position, and may lead to an individual breaching their cap. The ATO has issued guidance to SMSFs on their approach to compliance on this issue, but the Government is committed to finding a more permanent legislative solution to ensure that the value ...

Productivity Commission counters group insurance research

KARREN VERGARA  |  MONDAY, 29 OCT 2018
... the industry code, particularly if MySuper is offered; Establish an ASIC/APRA taskforce to monitor code adoptions, compliance and development (including providing guidance); and Launch an independent review of insurance in superannuation that's commissioned ...

ASIC keeps watch on SMSF auditors

DARREN SNYDER  |  MONDAY, 29 OCT 2018
... works closely with ATO as co-regulators of SMSF auditors. The ATO monitors the conduct of these auditors and may refer compliance matters to ASIC as the registration body. ASIC may cancel an SMSF auditor's registration if they have not performed ...

Nikko appoints AIST director

KANIKA SOOD  |  FRIDAY, 26 OCT 2018
... non-executive on the boards of Nikko Asset Management Australia Limited and Nikko AM Limited, also chairing the risk and compliance committee. Edwards currently serves as the independent chair of Tasplan Super, a non-executive director of the Australian ...

Enforceable undertakings are effective: Research

KARREN VERGARA  |  FRIDAY, 26 OCT 2018
... the study said. EUs are effectively contracts between the regulator and a financial services firm to improve failing compliance. The process is supervised by an external expert and in some instances monetary compensation from the firm is also required. ...

Unpaid super penalties too light: ISA

DARREN SNYDER  |  THURSDAY, 25 OCT 2018
... acting as a deterrent if employers can agree to pay late and have penalties waived. "The ATO's so called 'practical compliance approach' is causing a textbook moral hazard where employers take the risk knowing they won't be caught or even if they are ...