Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 1891 - 1900 of 3516 results for "compliance"

Treasury rolls out ASIC industry funding fee paper

ALEX BURKE  |  FRIDAY, 24 NOV 2017
... specific costs ASIC aims to recover from entities the regulator supervises. These costs will include fees for document compliance reviews, licence applications or variations, applications for registration, requests for changes to market integrity rules ...

SMSF platform strengthens distribution team

JAMIE WILLIAMSON  |  THURSDAY, 23 NOV 2017
... create trusts in real time, along with solutions for company formation, estate planning, retirement and ASIC corporate compliance," she said. "Earlier this year, we partnered with View Legal, extend our services into entity management and estate planning. ...

Fintech is not a threat: FPA

KARREN VERGARA  |  THURSDAY, 23 NOV 2017
... in six key steps and pinpoints where new technology can best add value in the process, particularly in the areas of compliance and regulatory requirements. According to the research, modern financial planning professionals adapting to the needs of digital ...

Penalty issued for ASX rules breach

JAMIE WILLIAMSON  |  THURSDAY, 16 NOV 2017
... considered that to have been too late as the company had formed reasonable suspicions in July 2015 when its internal compliance team raised concerns.

SelectingSuper winners crowned

EMMA RAPAPORT  |  THURSDAY, 16 NOV 2017
... Plan, and took home the Investment Innovation and Leadership Award. Rainmaker Group executive director, research and compliance Alex Dunnin reflected on what has been a busy year for the superannuation industry, from the introduction of RG97 to the entry ...

ASIC remains firm on IFA definitions

DARREN SNYDER  |  TUESDAY, 14 NOV 2017
... confirmation comes after ASIC first announced the update in June. ASIC has been working through a six-month facilitative compliance period for providers who were using the terms. The regulator reminded this period ends on 31 December 2017. ASIC deputy ...

Grant Thornton affirms indigenous commitment with new partner

EMMA RAPAPORT  |  TUESDAY, 14 NOV 2017
... Islander corporations, including 174 native title bodies, and was instrumental in significantly improving governance and compliance in the sector. From 1999 to 2007 Beven was the regional commissioner and national adviser (indigenous) in the Northern ...

Aussie regtech readies firms for MiFID II

KARREN VERGARA  |  THURSDAY, 9 NOV 2017
... Australian regtech has partnered with the London Stock Exchange (LSE) to help local financial services firms address compliance in time for the looming MiFID II deadline. APIR Systems will be the LSE's registered agent in Australia and South East Asia ...

ASIC needs tougher, direct powers: Taskforce

KARREN VERGARA  |  THURSDAY, 9 NOV 2017
... be given tougher intervention powers to direct how an Australian financial services licensee addresses or prevents compliance failures. The latest report from the ASIC Enforcement Review Taskforce highlights several shortcomings the corporate regulator ...

BTIM delivers record profit despite fee pressure

ALEX BURKE  |  WEDNESDAY, 8 NOV 2017
... US$9 billion in US pooled funds, fuelled in part by an expansion of operations in the area that included sales and compliance staff in Boston and a multi-asset investments team in New York. "It's interesting because if you look at the US, more than anywhere ...