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Showing 1751 - 1760 of 3508 results for "compliance"

NAB to divest MLC

ALEX BURKE  |  THURSDAY, 3 MAY 2018
... appetite for the sector," he said. Advice scandals, he continued, also forced institutions to significantly increase their compliance activity, raising costs and making further expansion in the wealth management space unattractive: "There's never been ...

IOOF flags ANZ Wealth results ahead of acquisition

ALEX BURKE  |  WEDNESDAY, 2 MAY 2018
... clients within five years of completion relating to various types of adviser pre-completion conduct, misconduct and non-compliance."

MDA provider makes key hires

JAMIE WILLIAMSON  |  TUESDAY, 1 MAY 2018
... national business development manager Richard Carr. With 30 years' broking experience, Semmens is a former operations and compliance consultant at JB Were and Credit Suisse. He also spent more than a decade with Lonsec, most notably as acting managing ...

CBA enters APRA EU

JAMIE WILLIAMSON  |  TUESDAY, 1 MAY 2018
... regulator said the dulling was particularly apparent in CBA's management of non-financial risks, such as its operational, compliance and conduct risks, APRA said. The report reads: "These risks were neither clearly understood nor owned, the frameworks ...

AMP becomes class action target

DARREN SNYDER  |  MONDAY, 30 APR 2018
... administrative error," Hardwick said. "We allege that this conduct was both unlawful and unethical and reflected serious compliance problems within AMP, and the market had a right to be informed about what they were buying into." Early this morning AMP ...

Government to increase SMSF member limit

KARREN VERGARA  |  MONDAY, 30 APR 2018
... allowing members to initiate and receive rollovers electronically between an APRA fund and their SMSF. "This will reduce compliance costs, expedite the rollover process and further improve the integrity of the super system," she said. "I have asked the ...

RECAP: Advice in the Royal Commission spotlight (Days 6- 9)

KANIKA SOOD  |  FRIDAY, 27 APR 2018
... bonuses, ANZ Financial Planning (AFP) advisers had to meet "certain hurdles" such as passing audits, completing mandatory compliance training and meeting certain ANZ values, Rixon told Orr. ANZ kept a "leaderboard" that ranked advisers on the revenue ...

Heffron partnership to offer robo-SMSFs

HARRISON WORLEY  |  FRIDAY, 27 APR 2018
... companies in February, and will allow SMSF trustees to establish an SMSF and use Six Park's robo-advising technology. Fund compliance will be handled by Heffron. The new offering is designed to be transparent and low-cost with Six Park chief executive ...

Elders appoints four advisers

KANIKA SOOD  |  THURSDAY, 26 APR 2018
... advisers. "We are proud of our ability to attract highly skilled advice practices who want the best in terms of support, compliance and innovative solutions to help them create real value during this period of change in the industry," Beaven said. The ...

IOOF updates market on ANZ wealth sale

KARREN VERGARA  |  TUESDAY, 24 APR 2018
... clients within five years of completion relating to various types of adviser pre-completion conduct, misconduct and non-compliance." In other areas of the business, IOOF said total funds under management, administration and advice at the end of March ...