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Showing 1681 - 1690 of 3508 results for "compliance"

ASIC defends enforceable undertakings at Royal Commission

KANIKA SOOD  |  FRIDAY, 17 AUG 2018
... gave an example: Commonwealth Financial Planning's undertaking and the way in which there had been failures in compliance with aspect of that undertaking; ASIC took the step of imposing licence conditions to address the failures that had arisen within ...

ANZ grilled over Smart Choice sales

JAMIE WILLIAMSON  |  THURSDAY, 16 AUG 2018
... superannuation products," Pankhurst said. Pankhurst was then shown a document prepared by ANZ's retail banking risk and compliance team that outlined the above as a key risk of selling the Smart Choice product. "Has there been any consideration given ...

NAB compensation delays hopelessly conflicted: Royal Commission

KARREN VERGARA  |  WEDNESDAY, 8 AUG 2018
... Commissioner Kenneth Hayne interjected that Smith was simply "sitting on the fence." After ASIC was notified of the compliance breaches, NAB/MLC was given the option to either enter into an enforceable undertaking or agree to change its licence conditions. ...

ASIC staff to investigate institutions from the inside

JAMIE WILLIAMSON  |  TUESDAY, 7 AUG 2018
... in which ASIC staff will be embedded within Commonwealth Bank, ANZ, NAB, Westpac and AMP to monitor governance and compliance. Additionally, a taskforce dedicated to conducting a broad review into corporate governance will be established at a cost of ...

TPB names new chief executive

JAMIE WILLIAMSON  |  MONDAY, 6 AUG 2018
... private practice as a lawyer as well as nearly three decades in senior management with a strong focus on ATO legal and compliance issues," he said. "We look forward to working with Michael to advance the interests of both tax practitioners and the consumers ...

Global fund manager replaces COO

KARREN VERGARA  |  FRIDAY, 3 AUG 2018
... includes Coutts Bank and Rothschild Bank. As COO, Taussig oversees the day-to-day activities of the finance, operations, compliance and client relations and marketing groups. Prior to Epoch, he was managing director of BEA Associates/Credit Suisse Asset ...

XPLAN picks up Lumen integration

HARRISON WORLEY  |  FRIDAY, 3 AUG 2018
... performance of their business and where there is risk," Vigilante said. "This includes being able to access pre-configured compliance monitoring for ASIC's key risk indicators (REP 515 & 499) to satisfy compliance and regulatory requirements. In addition ...

Royal Commission work impeded: Hayne

DARREN SNYDER  |  THURSDAY, 2 AUG 2018
... with APRA, ASIC or the Australian Tax Office," he said. "Some of them do no more than record particular governance and compliance issues that had arisen without any expression of, or record concerning, any legal advice about or legal characterisation ...

Existing but unregistered advisers at risk

JAMIE WILLIAMSON  |  THURSDAY, 2 AUG 2018
... with the new substantive professionalism and education requirements and licensees must keep appropriate records for compliance purposes," ASIC said.

ASIC provides guidance on Asia Funds Passport

KARREN VERGARA  |  WEDNESDAY, 1 AUG 2018
... investment schemes to be part of the initiative. It also provided best practice examples and case studies on a range of compliance issues. RG 132, which sets out compliance and oversight, requires all Australian passport funds to undertake an independent ...