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Showing 2121 - 2130 of 3517 results for "compliance"

Engage tech, engage clients: report

JAMIE WILLIAMSON  |  THURSDAY, 22 SEP 2016
... to managing their online presence. The research also demonstrated that only 6.7% of European asset managed employ a compliance specialist for digital and social media, which is concerning given the inherently sensitive nature of communications between ...

Centrepoint establishes adviser transition program

KERRIE SYDEE  |  WEDNESDAY, 21 SEP 2016
... running their own businesses," said Centrepoint managing director John de Zwart. The transition solution includes full compliance and technical support, technology solutions, business development support and other terms including initial fee relief and ...

Report outlines impact of MDA operation reforms

JAMIE WILLIAMSON  |  WEDNESDAY, 21 SEP 2016
... with an MDA operator offering a retail super solution. "Our goal is to partner with leading advisory firms to drive compliance and practice efficiency by eliminating the need to produce a RoA for every client, every time they rebalance a portfolio or ...

DTCC to cut GTR fees

JAMIE WILLIAMSON  |  WEDNESDAY, 21 SEP 2016
... Asia said DTCC is pleased to see continued use of the GTR service across Asia, helping clients to address a critical compliance requirement. "Because of this community adoption and our utility model - where prices can be reduced as efficiencies are gained ...

Advisory firm has licence cancelled

MARK SMITH  |  MONDAY, 19 SEP 2016
... demonstrating it has adequate financial resources to provide the services covered by its licence and to conduct the business in compliance with the Corporations Act 2001. "Licensees are required to lodge financial statements and auditor reports with ...

EQT appointed RE to newly-launched asset manager

ALEX BURKE  |  WEDNESDAY, 14 SEP 2016
... who said: "For a fund to be taken seriously by an investor you have to separate the job of manager from the job of compliance and regulatory. "Working with the team at Equity Trustees we don't consider as a cost to our business rather, it's an investment ...

CBA pays $180,000 in penalties

ALEX BURKE  |  WEDNESDAY, 14 SEP 2016
... ASIC deputy chair Peter Kell said: "Credit licensees should continuously monitor their internal processes to ensure compliance with the law. "This is especially the case with automated decision-making systems where ongoing monitoring is needed to ensure ...

ASIC accepts EU from Perth advice firm

ALEX BURKE  |  TUESDAY, 13 SEP 2016
... has accepted an enforceable undertaking from a Perth financial advice firm. The regulator expressed concerns about compliance management at Neo Financial Solutions and has requested the group engage with an independent expert to assess these issues. ...

CSC and Infratil make another co-investment

DARREN SNYDER  |  MONDAY, 12 SEP 2016
... opportunities underway, including its fourth data centre, Hume 3, which has achieved occupancy and operational use compliance. CDC currently has about 39 megawatts of existing capacity split across four facilities, including Hume 3, and two data centre ...

PIMCO hiring for 20 new roles in Asia expansion

ALEX BURKE  |  MONDAY, 12 SEP 2016
PIMCO will hire over 20 new professionals in sales and marketing, operations, legal and compliance roles to facilitate its Asia Pacific expansion. Speaking to Financial Standard, PIMCO head of Asia Pacific Eric J. Mogelof said the region "continues ...