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Showing 1641 - 1650 of 3508 results for "compliance"

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 ...

Perpetual partners with Microsoft

KANIKA SOOD  |  TUESDAY, 23 OCT 2018
... Business Intelligence Platform's other modules offer credit stress testing and the IFRS 9 global accounting standards for compliance. The credit stress testing module streamlines APRA reporting for financial service providers. It helps managers and banks ...

Advice dealer group takes out governance award

JAMIE WILLIAMSON  |  TUESDAY, 23 OCT 2018
One of IOOF's newly-acquired dealer groups was recognised in the Governance, Risk and Compliance Institute's annual awards. Elders Financial Planning took home the Team of the Year Award at a function hosted in Sydney. Elders Financial Planning general ...

SMSFs most affordable: Research

KARREN VERGARA  |  THURSDAY, 18 OCT 2018
... investment managers, while the remaining is spent on fund administration. Rainmaker executive director of research and compliance Alex Dunnin said: "Despite what some super fund members may think, superannuation is now a highly competitive marketplace. ...

Financial services employment to boom

JAMIE WILLIAMSON  |  WEDNESDAY, 17 OCT 2018
... suggests the industry is preparing for significant changes that require an increase in headcount in order to manage new compliance obligations while maintaining a competitive position in a rapidly changing sector," Manpower said. The Net Employment Outlook ...

Super funds excel in reporting obligation

KARREN VERGARA  |  TUESDAY, 16 OCT 2018
... the overall good quality of this year's results, the ATO said there was no need for audits or a large program of compliance casework. However, it is conducting information system risk assessments and specific issue reviews with funds that have not ...

Temenos scores digital transformation mandate

KARREN VERGARA  |  TUESDAY, 16 OCT 2018
... Financial Services (UFS) will use Temenos' T24 core banking, analytics, financial crime mitigation and risk and compliance software to improve its operational efficiencies. The not-for-profit organisation provides treasury and ethical investment ...

ASIC to review FDS compliance

HARRISON WORLEY  |  TUESDAY, 16 OCT 2018
... notices, after licenses submitted breach reports to the extent the corporate regulator is concerned about systemic non-compliance. The FDS review will examine to what extent advice licensees issue FDSs and renewal notices to customers and whether they ...

ASIC delays adviser reporting deadlines

KARREN VERGARA  |  THURSDAY, 11 OCT 2018
... licensees must still comply with the new education and training standards and licensees must keep appropriate records for compliance purposes. Licensees will still be required to comply with the requirements for provisional relevant providers from 1 ...