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Showing 1741 - 1750 of 3510 results for "compliance"

ASIC wants industry views on short selling

DARREN SNYDER  |  TUESDAY, 15 MAY 2018
... and transparent. The proposals strike a balance between providing efficiency and certainty and reducing the burden of compliance for businesses, and managing the risks that short selling poses to market integrity." Submissions can be made up to 20 June ...

ASIC consults on advice code monitoring bodies

JAMIE WILLIAMSON  |  TUESDAY, 15 MAY 2018
ASIC released its consultation paper detailing proposals for approving and supervising compliance schemes for the incoming code of ethics that all financial advisers must adhere to. Under the professional standards legislation, the code of ethics developed ...

Trustee services provider appoints new chair

ALEX BURKE  |  TUESDAY, 15 MAY 2018
... Financial Group. The deal includes the licensee, Madison's OneVue platform private label WealthPortal, PHAROS' compliance subsidiary AdviceNet and separately managed account provider Proactive Portfolios.

Spaceship beefs up senior management

KANIKA SOOD  |  MONDAY, 14 MAY 2018
... million in funds has added two industry veterans to its top brass among four new appointments. The move tightens its compliance and governance. Andrew Moore will now serve as chairperson on Spaceship Financial Services' six-person board. He has about ...

Adviser disciplinary regime has holes: AFA

JAMIE WILLIAMSON  |  MONDAY, 14 MAY 2018
... and structural reform." Despite being of the belief it is possible to have more than one body to monitor advisers' compliance with the pending Code of Ethics, the AFA acknowledged that arguments exist for the establishment of a single code monitoring ...

Blue Sky director resigns

ALEX BURKE  |  MONDAY, 14 MAY 2018
... structure will see Morison at the top, followed by an investments managing director, a chief risk officer, legal and compliance, a chief financial officer, chief operating officer and corporate affairs.

MGP to expand super solutions, director resigns

KARREN VERGARA  |  THURSDAY, 10 MAY 2018
... Industries Superannuation Scheme (EISS) since 2012. He joined MGP in 2016, tasked with chairing the audit, risk and compliance committee. Executive chair Don Sharp thanked Hutchison for his contribution and guidance to the company. The board of directors ...

Zenith hires former asset management chief

KARREN VERGARA  |  THURSDAY, 10 MAY 2018
... "Advice groups are seeking time-saving solutions that can also offer their clients performance, transparency and robust compliance. Our managed accounts tick these boxes, and are a natural extension and fit with a research business such as Zenith," he ...

ANZ culls sales incentives for planners

KANIKA SOOD  |  MONDAY, 7 MAY 2018
... has removed all sales incentives for bonuses and will now only asses performance on customer satisfaction, risk and compliance standards and ANZ values. To keep its adviser pool clean of inappropriate planners, ANZ is promising to boot out planners if ...

Blue Sky chair steps down amid business restructure

ALEX BURKE  |  MONDAY, 7 MAY 2018
... structure will see Morison at the top, followed by an investments managing director, a chief risk officer, legal and compliance, a chief financial officer, chief operating officer and corporate affairs. "These initiatives are expected to deliver a better ...