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Showing 1901 - 1910 of 3516 results for "compliance"

Peer-learning popular among self-licensed advisers

JAMIE WILLIAMSON  |  WEDNESDAY, 8 NOV 2017
... requirements. Further, advisers are also searching for more practical tools and expertise to make their advice delivery, compliance and client engagement requirements more efficient. "Easy to implement client engagement tools are seen as a much-needed ...

Diversification trumping growth: Schroders

ALEX BURKE  |  FRIDAY, 3 NOV 2017
... years." Brokers also highlighted potential barriers to rebalancing portfolios, including implementation challenges (46%), compliance hurdles (43%), being time poor (7%) and skill set gaps (4%). Commenting on the positive sentiment, Schroders multi-asset ...

ASIC reviews RG97 impact

KARREN VERGARA  |  THURSDAY, 2 NOV 2017
... review on the effects of the Regulatory Guide 97 fee disclosure reforms, and will again extend its previous September 30 compliance deadline. ASIC said the move was in response to the industry's outcry around the practical challenges in implementing ...

Cyber-security fears strike industry: Research

KARREN VERGARA  |  THURSDAY, 2 NOV 2017
... research from technology provider TAS suggests. About half (46%) of executives canvassed in the second edition of the Compliance Index indicated cyber-security as a top compliance priority. By the same token, many are investing in automation to lessen ...

Managed accounts platform doubles FUA

KARREN VERGARA  |  TUESDAY, 31 OCT 2017
... our licence, we were looking for a partner to add value to our client service and practice efficiency by automating compliance and administrative functions, and enabling more timely client portfolio rebalancing and client record of advice generation," ...

Melbourne advice firm cops historic $1 million fine

JAMIE WILLIAMSON  |  MONDAY, 30 OCT 2017
... unnecessary financial arrangements between July 2013 and August 2015. The Court found the failures by NSG to ensure compliance by its representatives were systemic in nature, with Justice Moshinsky regarding the contraventions as "very serious ones." ...

Trustees must raise bar on good governance: APRA

KARREN VERGARA  |  THURSDAY, 26 OCT 2017
... letter of the code, and seek to really live it through meeting its spirit and intent" and not approach it as a mere compliance exercise. Much of APRA's thematic review of 29 trustees, which began in 2016, found that many aspects of board governance arrangements ...

Australia lax in fighting financial crime

KARREN VERGARA  |  WEDNESDAY, 25 OCT 2017
... combatting financial crime, particularly anti-money laundering, requires a more holistic approach, according to a panel of compliance and security experts. ANZ financial crime risk professional Rachel Waldren told the BAE Systems and Australian British ...

Business benefits of managed accounts mounting

JAMIE WILLIAMSON  |  THURSDAY, 19 OCT 2017
Financial advisers using managed accounts are saving more than 14 hours a week on compliance and administrative tasks. Latest research from BT Financial Group, conducted by Investment Trends in July, demonstrates advisers recommending managed accounts ...

AFA launches mental health service

DARREN SNYDER  |  MONDAY, 16 OCT 2017
... operators and you have the stress of running a small business. We have increased revenue pressure as a result of increased compliance," he said. "Sometimes you're having complex and emotional conversations with your clients and it can be hard to deal ...