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Showing 1861 - 1870 of 3516 results for "compliance"

ASIC puts corner-cutting advisers on notice

JAMIE WILLIAMSON  |  MONDAY, 22 JAN 2018
... Union of Australia called out NAB Financial Planning for 'systemic and cultural issues' after it was revealed that a compliance review conducted in 2016 found one of its advisers had falsely claimed to have witnessed the signing of several Beneficiary ...

Ignition Wealth appointment flags fintech future

DARREN SNYDER  |  THURSDAY, 18 JAN 2018
... Ireland." "We are working to evolve technology for financial services, bringing a global perspective to development, compliance and customer experience," Quinlan said. Quinlan's background includes senior roles at BT Financial Group in Australia and ...

HLB Mann Judd revises AFSL

JAMIE WILLIAMSON  |  THURSDAY, 18 JAN 2018
... IERs. In response, HLB Mann Judd Melbourne said: "As an AFS licence holder, HLB Mann Judd Corporate Finance treats its compliance obligations very seriously. While the company does not necessarily agree with the basis of ASIC's concerns, it nevertheless ...

Two FSC senior policy managers depart

KARREN VERGARA  |  WEDNESDAY, 17 JAN 2018
... Regime, a new taxation system for managed investment schemes and Australia's implementation of the US Foreign Account Tax Compliance Act (FATCA) rules. Her work in funds management included guiding the industry through changes in money market fund naming ...

IOOF recruits former Australian Unity executive

JAMIE WILLIAMSON  |  TUESDAY, 16 JAN 2018
... week. The Melbourne-based position was created as an expansion of the existing client and process team, overseeing the compliance and professional standards team; the customer care and resolutions and data integrity teams; member services; and adviser ...

SMSF members want overseas restrictions lifted

DARREN SNYDER  |  TUESDAY, 16 JAN 2018
... superannuation fund and subsequently transferring the benefit to their SMSF. The end result is higher administrative and compliance costs, reducing the superannuation balance." Three conditions are required to meet the requirements to be an Australian ...

ASIC cancels AFSL, accepts EU

DARREN SNYDER  |  TUESDAY, 16 JAN 2018
... Breakaway did not sufficiently tailor several key policies and procedures to its operations, thus failing to ensure compliance with relevant laws; did not effectively deal with conflicts of interest; and did not properly implement or follow some key ...

CFA Australia recruits industry veterans

KARREN VERGARA  |  TUESDAY, 16 JAN 2018
... joins as chair of CFA Societies Australia's Advocacy Council. The council backs professionalism standards encompassing compliance, competency and ethics across the Australian financial services industry. It aims to use the collective knowledge and experience ...

Powerwrap, OneVue vets join MGP

JAMIE WILLIAMSON  |  MONDAY, 1 JAN 2018
Managed Account Holdings is welcoming a former Powerwrap sales lead and a former head of compliance from OneVue as it continues to capitalise on its acquisition of Linear. Richard Carr has joined MGP as a business development manager to aid the growth ...

FSC finalises life insurance APL guidelines

ALEX BURKE  |  FRIDAY, 22 DEC 2017
... claim timeframes, restrictions of surveillance and greater levels of consumer communications transparency. Should non-compliance occur, insurers will incur what the FSC described as 'strong sanctions'. These could consist of a formal warning, a compliance ...