Search Results | Showing 1821 - 1830 of 3513 results for "compliance" |
| | | ... ideal fit in terms of "product capability, Decimal's approach to implementation, and the company's understanding and compliance with ASIC guidelines on digital advice." Finally, Decimal also entered a new pilot contract with a "major diversified bank." ... |
| | | | ... market regarding some products, ASIC said. The watchdog is seeking from the Federal Court pecuniary penalties and a compliance program for CBA to implement. Bank bills are short-term money market instruments used by banks to borrow or lend, which help ... |
| | | | ... Australia, Moody's Investor Services and S&P Global Ratings Australia, and found more work needed to be done when it came to compliance matters. ASIC found some agency's board did not meet regularly and should do so to comply with its AFSL. It also found ... |
| | | | ... advisory. Paul Synhur was most recently Equipsuper's head of risk, having held previous roles in the fund's risk and compliance team. "In his previous roles, Paul has been closely involved with the member advice and financial planning teams," Equip executive ... |
| | | | ... being due to increased operating expenses as a result of "additional fixed headcount in the finance, operations, risk, compliance and customer support areas." In the prior corresponding period, Australian Ethical also incurred significant expenses with ... |
| | | | ... to Garrie's departure later in the year. The role's key responsibilities are in the areas of strategy, leadership, compliance and risk management, stakeholder management, in addition to the management of external and internal relationships. |
| | | | ... (see list of winners and finalists below). The guide was authored by Alex Dunnin, executive director of research and compliance, and John Dyall, head of investment research, at Rainmaker Group, owner of Financial Standard. Speaking about the guide, Dunnin ... |
| | | | ... investigated how large institutions oversee advisers and address customer loss or detriment under Report 515. The Advice Compliance Project identified "high-risk advisers" who engaged in non-compliant conduct between 1 January 2009 and 30 June 2015. ... |
| | | | ... appropriate segregation of scheme property is imposed by section 601FC(1)(i) of the Act. We also have concerns Aurora's compliance with its continuous disclosure obligations under the ASX Listing Rules," WAM said. This latest conflict with WAM follows ... |
| | | | ... said: "Class is a highly respected leader in the SMSF industry and a recognised innovator in the area of data feeds and compliance. I'm very excited to be joining such a progressive team of people and to bring my expertise to the table." |
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