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Showing 1971 - 1980 of 3516 results for "compliance"

Robo-advisers expected to meet fiduciary rule

ALEX DUNNIN  |  FRIDAY, 16 JUN 2017
... 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 ...

Greater adoption of tech in new world of advice

JAMIE WILLIAMSON  |  THURSDAY, 15 JUN 2017
... 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 ...

IRESS to support boutique firm

JAMIE WILLIAMSON  |  WEDNESDAY, 14 JUN 2017
... (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 ...

Funds management not up to scratch: ASIC

EMMA RAPAPORT  |  WEDNESDAY, 14 JUN 2017
... 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 ...

Advisers preparing ahead of professional standards: Spot poll

DARREN SNYDER  |  TUESDAY, 13 JUN 2017
... 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 ...

Fiduciary rule introduced in United States

JAMIE WILLIAMSON  |  TUESDAY, 13 JUN 2017
... 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 ...

EQT appointed RE for $5.9bn manager

ALEX BURKE  |  FRIDAY, 9 JUN 2017
... 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 ...

Macquarie pays the price for poor advice

JAMIE WILLIAMSON  |  FRIDAY, 9 JUN 2017
... 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 ...

Link Group acquires robo-advice business

ALEX BURKE  |  MONDAY, 5 JUN 2017
... 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 ...

Schroders managers join Bennelong UK business

ALEX BURKE  |  FRIDAY, 2 JUN 2017
... 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 ...