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Showing 1981 - 1990 of 3519 results for "compliance"

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 ...

Super funds must do more digitally

JAMIE WILLIAMSON  |  THURSDAY, 1 JUN 2017
... ASIC's RG255, which Pollock said will give banks and super funds greater confidence in Decimal's understanding of their compliance needs.

Elders gives back to advice community

JAMIE WILLIAMSON  |  THURSDAY, 1 JUN 2017
... general manager Tony Beaven said. Advisers will be educated on a wide range of skill sets including financial planning, compliance, business coaching, emotional intelligence, soft skills, psychology, leadership, organisational change theory, strategic ...

ASIC consults on new statement of advice

EMMA RAPAPORT  |  WEDNESDAY, 31 MAY 2017
... advisers achieve this objective. The SOA should not be designed as a mechanism to protect advisers against liability or a compliance tool." The consultation follows a number of policy developments in the retail life insurance sector which have highlighted ...

IRESS partnership aids RG 97 compliance

KARREN VERGARA  |  WEDNESDAY, 31 MAY 2017
Financial technology provider IRESS announced a partnership that will help clients analyse trades efficiently and become more RG 97 compliant. Clients of both IRESS and global financial technology company ITG will benefit from a faster and more comprehensive ...

ASIC boosts support for regtech

KARREN VERGARA  |  WEDNESDAY, 31 MAY 2017
... businesses or 'regtechs' in response to an overwhelming number of organisations expressing frustration over complex compliance burdens. The corporate watchdog recently announced the next phase of supporting regtech's technological capabilities in helping ...

Change of pace for Countplus

JAMIE WILLIAMSON  |  WEDNESDAY, 31 MAY 2017
... read. The company also announced the appointment of a general counsel, Angus Finney. Finney is an experienced legal, compliance and risk management executive with over 20 years' experience in financial services. Finney has previously held roles with ...

BGL partners with Link for automation

EMMA RAPAPORT  |  TUESDAY, 30 MAY 2017
... ensure SMSF holding balances are reconciled on a quarterly basis or any other time required by the SMSF as part of a compliance check, automatically overnight. "Automating the reconciling of holding balances with share registries, the single source of ...