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Showing 1771 - 1780 of 3510 results for "compliance"

MLC, Colonial First State make key appointments

JAMIE WILLIAMSON  |  WEDNESDAY, 18 APR 2018
... head of superannuation. He also led the CFS Regulatory Reform Program and was responsible for prudential oversight and compliance with all governance related activities for the CFS suite of products and services. MLC Super chief executive Matthew Lawrance ...

Trustee services provider buys advice group

JAMIE WILLIAMSON  |  TUESDAY, 17 APR 2018
... PHAROS 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. Established in 2016, Trustee Partners ...

Banks put revenue above quality advice: FSU

ALEX BURKE  |  MONDAY, 16 APR 2018
... culture." Follow Financial Standard for ongoing coverage of the financial services Royal Commission: NAB details serious compliance concerns in RC advice submission Commonwealth Bank refunding millions in fees for no service ANZ issues last minute RC ...

NAB details serious compliance concerns in RC advice submission

JAMIE WILLIAMSON  |  MONDAY, 16 APR 2018
In the past nine years NAB has identified about 70 financial advisers giving rise to serious compliance concerns across its wealth division. In its submissions to the Royal Commission, NAB disclosed that between 1 January 2009 and 1 January 2018, it ...

AMP's buyer of last resort measures scrutinised

JAMIE WILLIAMSON  |  MONDAY, 16 APR 2018
... obvious." Follow Financial Standard for ongoing coverage of the financial services Royal Commission: NAB details serious compliance concerns in RC advice submission Commonwealth Bank refunding millions in fees for no service ANZ issues last minute RC ...

AMP executive 'apologises' for advice failings

JAMIE WILLIAMSON  |  MONDAY, 16 APR 2018
... coverage of the financial services Royal Commission: AMP's buyer of last resort measures scrutinised NAB details serious compliance concerns in RC advice submission Commonwealth Bank refunding millions in fees for no service ANZ issues last minute RC ...

Commonwealth Bank refunding millions in fees for no service

JAMIE WILLIAMSON  |  MONDAY, 16 APR 2018
... failures unacceptable: Comyn It also acknowledged notifications were made in regards to a further 20 advisers for serious compliance concerns, good governance notifications were made in relation to an additional 13 advisers and 15 former CBA advisers ...

ANZ issues last minute RC submission correction

JAMIE WILLIAMSON  |  MONDAY, 16 APR 2018
... improper use of client funds; misleading conduct in regards to qualifications or authorisations; falsifying customer or compliance documentation; deliberate overcharging of fees; providing poor advice; and failures to comply with disclosure obligations. ...

ASIC lifts licence conditions on CountPlus subsidiary

KANIKA SOOD  |  MONDAY, 16 APR 2018
... conditions it imposed on a CountPlus subsidiary after it paid $2.5 million in remediation to its clients following a compliance issue in 2015. In September, 2015 ASIC placed additional licence conditions on Total Financial Solutions's Australian financial ...

AMP admits to serious misconduct in RC submissions

JAMIE WILLIAMSON  |  MONDAY, 16 APR 2018
... the advice hearings. Further, AMP acknowledged that since 2009 it has identified 81 advisers with potential serious compliance concerns. In the same period, AMP has identified 440 advisers with potential other compliance concerns, including breaches ...