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Showing 2131 - 2140 of 3517 results for "compliance"

Experts give insights at 2016 Managed Accounts Forum

JAMIE WILLIAMSON  |  SUNDAY, 11 SEP 2016
... Standard Managed Accounts for Financial Advisers Survey, delivered by Rainmaker Group's executive director, research and compliance Alex Dunnin. From there, Beulah Capital's Christian Ryan, Securinvest Financial Planning's Craig Thwaites and Lukasz de ...

Advisers need to control the finance food chain

JAMIE WILLIAMSON  |  THURSDAY, 8 SEP 2016
... take greater control of their businesses will not only see a significant increase in profitability and improvements in compliance but, more broadly, would encourage more female engagement, both as advisers and clients. "I think, currently, women don't ...

Fears of increased compliance costs misguided

JAMIE WILLIAMSON  |  THURSDAY, 8 SEP 2016
... governance measures have always been fundamental to the delivery of 'true' digital financial advice. Decimal believes compliance should already be at the core of robo-advice platforms utilised by enterprise organisations in the industry, saying that ...

Under reporting of super fees harming investors: ASIC

DARREN SNYDER  |  THURSDAY, 8 SEP 2016
... Tanzer said the regulator believed the transition "was very generous." Tanzer said ASIC will be adopting a facilitative compliance approach after the transition period "but obviously if funds have made no effort to comply or worse have done something ...

Morgan Stanley pays $123,750 penalty

KERRIE SYDEE  |  WEDNESDAY, 7 SEP 2016
... December 2014 as to why total futures client monies was greater than 20% from the prior day In a statement ASIC said: "The compliance with the infringement notice is not an admission of guilt or liability, and Morgan Stanley is not taken to have contravened ...

Disclosure deadlines present super challenge

DARREN SNYDER  |  WEDNESDAY, 7 SEP 2016
... and lack transparency. But as the super industry progresses on disclosure it begs the question as to how fiduciary compliance will be upheld while a balance is sought to deliver meaningful information to members. ASIC recently told the Productivity Commission ...

Contango appoints compliance officer

ALEX BURKE  |  TUESDAY, 6 SEP 2016
Contango Asset Management has appointed a new compliance and legal officer. Skye Radley joins the manager from Equity Trustees, where she worked in legal, risk management and compliance roles for three years. Prior to that, she was a solicitor with ...

Capital stewards create value on Main Street

DARREN SNYDER  |  TUESDAY, 6 SEP 2016
... is time and market dependent. For example the way a German pension fund prioritises its regulatory obligations and compliance from an ESG perspective would be vastly different from a UK fund," Prugue said. "So is one fund better than the other? It really ...

IQ Group expands Australian presence

KERRIE SYDEE  |  MONDAY, 5 SEP 2016
... will use his superannuation industry expertise to develop change programs to support the challenges of regulatory, compliance and transformation change for existing and new clients. Chief executive of IQ Group Brian Peters said: "The latest additions ...

GPS Wealth launches advice solution

KERRIE SYDEE  |  MONDAY, 5 SEP 2016
... Accountants was a comprehensive solution for practitioners who wanted to lift practice efficiency, productivity and compliance, and improve client engagement. He added that since the launch of the original desktop SOA tool in April, accountants had been ...