Search Results | Showing 1971 - 1980 of 3516 results for "compliance" |
| | | ... Clayton, is directing the SEC Division of Investment Management - in co-ordination with the Staff of the Office of Compliance Inspections and Examinations - to scrutinise algorithmic based advisers and the people who operate them. The push follows announcements ... |
| | | | ... considering adopting greater technological capabilities include improving business efficiency (86%), improving business compliance (58%) and improving business profitability (54%). Despite the expectation of greater efficiencies afforded through technology ... |
| | | | ... (IPS), selecting it for the efficiencies provided by its integrated portfolio management and trading capability, strong compliance focus and dedicated local support team. IRESS managing director of financial markets for Australia and New Zealand, Kirsty ... |
| | | | ... profiling methodology. The surveillance analysed responses provided by responsible entities on governance, risk and compliance with the Corporations Act and licence conditions, disclosures, cyber-resilience and use of fund assets. Three unnamed responsible ... |
| | | | ... undergo further training. Another 18% said they have initiated "all of the above" including a review of industry code compliance. The remaining 40% of participants said they are doing nothing, and it may indicate a portion of advisers feel they will ... |
| | | | ... inflicting large, avoidable losses on retirement investors, that appropriate, strong reforms are necessary, and that compliance with this final rule and exemptions can be expected to deliver large net gains to retirement investors." It is worth noting ... |
| | | | ... appreciates the benefits that an experienced RE brings to the table; convenience and industry knowledge about all the compliance and regulatory responsibilities involved with overseeing a fund. This means funds managers can get funds to market fast ... |
| | | | ... subsidiary of Macquarie entered the enforceable undertaking in January 2013 following surveillance which found recurring compliance deficiencies by and under the supervision of Macquarie Equities advisers dating back to 2008. As part of the program ... |
| | | | ... The acquisition will allow Link Group to tailor digital advice offerings for super funds as well as assisting with compliance, licensing and technology implementation. "The acquisition of Adviser Network is firmly in line with Link Group's growth strategy ... |
| | | | ... term track record," Thomas said. "Since last summer we have been working to build a strong distribution, marketing, compliance and operational platform, which is now in place and awaiting FCA authorisation, and which provides a strong foundation for ... |
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