Search Results | Showing 191 - 200 of 557 results for "Supervision" |
| | | ... crucial role to play in the oversight of financial advice, which cannot be limited to product. Training, education and supervision are all roles of an AFSL that they say the FPA failed to consider. "Additionally, licensees provide capital protection ... |
| | | | ... internationally. "Financial sector firms are facing significant regulatory change, more aggressive regulators using more dynamic supervision, consolidation, competition from technology firms entering the financial sector and with the opening up of the ... |
| | | | ... formal and objective criteria, lack of independence of research teams and associated governance," FCA director of supervision - life insurance and financial advice Debbie Gupta wrote. "Processes for clear selection, monitoring and deselection of funds ... |
| | | | ... quickly to make payments after receiving determinations from the ATO," Rowell said. "Under the Superannuation Industry (Supervision) Act 1993, trustees are legally required to make early release payments to eligible members 'as soon as practicable'." ... |
| | | | ... corporate and director obligations, and the regulation of financial and credit products that are the subject of ASIC supervision. |
| | | | ... and responding to instances of substantial information asymmetry in the market; and have appropriate compliance and supervision arrangements to support these measures," ASIC said. On improving internal market making practices, ASIC has asked indicative ... |
| | | | ... and added there will be consequences for those who fail to do so. "It is important to maintain robust monitoring and supervision controls to ensure financial services are provided efficiently, honestly and fairly," ASIC said. "ASIC has observed that ... |
| | | | ... regulator APRA. With major projects delayed, the regulator will instead continue to provide an increased level of market supervision work in order to ensure the fair and orderly operation of markets. Additionally, ASIC said it would "heighten" its support ... |
| | | | ... Professional Services licences after surveillance determined advisers were providing poor advice under inadequate supervision. About a week later ASIC took action against one its individual advisers, accepting an enforceable undertaking from a representative ... |
| | | | ... which involve "intensive engagement with regulated entities" were the most likely to be paused. "APRA's refocused supervision effort will involve frequent communication with entities, monitoring key financial settings, such as capital and liquidity ... |
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