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Showing 2091 - 2100 of 3523 results for "compliance"

Bank inquiry recommends breaking big four oligopoly

ALEX BURKE  |  FRIDAY, 25 NOV 2016
... "improve the transparency of its processes in assessing and granting a banking licence." Other recommendations focused on compliance and remediation, the biggest of which was saying the Financial Ombudsman Service, the Credit and Investments Ombudsman ...

ACCC slams Macquarie and ANZ for cartel conduct

ALEX BURKE  |  FRIDAY, 25 NOV 2016
... responsibility and apologise for the actions of our former employees. We have made significant improvements to our compliance, training and monitoring systems to ensure this does not happen again." ANZ said it has since enhanced internal policies and ...

ASIC gives green light to FPA fees code

JAMIE WILLIAMSON  |  THURSDAY, 24 NOV 2016
... approval, codes must adopt higher standards than required by law, or in the case of an opt-in code replace the need for compliance with a legal requirement, and represent a benefit to consumers," said De Gori. "Importantly, any organisation proposing ...

Key board appointment for Sequoia

JAMIE WILLIAMSON  |  MONDAY, 21 NOV 2016
... independently owned AFSL, Interprac Financial Planning. Crole will also join Sequoia's governance committee, risk & compliance committee, remuneration committee and audit committee. Crole brings over 30 years' experience in establishing and developing ...

ASIC bans former AMP adviser

KERRIE SYDEE  |  MONDAY, 21 NOV 2016
... false documents to clients. ASIC deputy chair Peter Kell said: "ASIC is committed to raising standards of conduct and compliance in the wealth management industry and will act to remove advisers who engage in misleading conduct." McCarthy has the right ...

Contango nabs former UBS exec

JAMIE WILLIAMSON  |  THURSDAY, 17 NOV 2016
Contango Asset Management has appointed a legal and compliance expert as general counsel. Hari Morfis has joined the firm from UBS, bringing with her a high level of regulatory experience and expertise. Having most recently served as executive director ...

CommSec pays $200,000 penalty

KERRIE SYDEE  |  WEDNESDAY, 16 NOV 2016
... prevent unauthorised trading on deceased client accounts, they were not properly implemented, integrated or managed. Compliance with an infringement notice is not an admission of guilt or liability, and CommSec is not taken to have contravened subsection ...

Digital advice as commonplace as internet banking

ALEX BURKE  |  FRIDAY, 11 NOV 2016
... recently-released digital advice regulations have been a godsend for companies like Decimal. "They basically wrote our compliance marketing material for us," he said. "If you want to be a technology supplier to the big institutions, you need everything ...

New advisers in need of extra training

KERRIE SYDEE  |  FRIDAY, 11 NOV 2016
... build and develop business opportunities. "While graduates are leaving university with all the right technical and compliance skills, they are not being taught how to work effectively with clients," Hluchaniuk said. He said while the course offering ...

BTFG navigates wealth management headwinds

JAMIE WILLIAMSON  |  MONDAY, 7 NOV 2016
... were offset by lower income via advice, lower valuations of investments in Ascalon funds, and increased regulatory and compliance costs. The group's insurance division also reported increased cash earnings of $18 million driven by higher premiums and ...