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Showing 2281 - 2290 of 3523 results for "compliance"

ASIC revenue and investigations decrease in 2015

ALEX BURKE | MONDAY, 2 NOV 2015

... number of breach reports from auditors and licensees increased by 17% to 1,635, the amount of reports referred for compliance, investigation or surveillance decreased from 51% to 42% over the year. In his commentary on the report, ASIC chair Greg Medcraft ...

PROFILE: SuperBPO chief executive Michael Houlihan

DARREN SNYDER | FRIDAY, 23 OCT 2015

... focused on for a number of years is solutions. It might be consulting from a client point of view and helping out with a compliance structure, or writing policies and procedures and making sure everything is in line with prudential standards." The chief ...

ASFA supports SGC bill with increased ATO resources

DARREN SNYDER | THURSDAY, 15 OCT 2015

... ASFA chief policy officer Glen McCrea said. "In this context we consider that it is essential that dealing with SG non-compliance be more highly prioritised within the ATO and that the relevant areas within the ATO be more appropriately funded." ASFA ...

CFAs told ASIC is for the consumer

DARREN SNYDER | WEDNESDAY, 14 OCT 2015

... Investment Conference in Sydney yesterday, Medcraft said the surveillance was focusing on two particular areas - advice compliance and bad apples. "We are looking to ensure that historic issues with advice are addressed and that moving forward appropriate ...

ASIC funding model needs "meat on the bones"

LAURA MILLAN | TUESDAY, 13 OCT 2015

... account that higher market capitalisation companies are generally better resourced and have strong governance, risk and compliance programs. It cannot be assumed that they demand more frequent regulator attention," he said. "The reality is smaller cap ...

Shaw and Partners appoints foundation members

LAURA MILLAN | TUESDAY, 13 OCT 2015

... head of private wealth management Earl Evans, chief operating officer and chief financial officer Dan Jowett, head of compliance Steve Arnison and head of research Martin Crabb. Shaw and Partners chief executive Allan Zion said that the foundation will ...

Mercer appoints independent director

DARREN SNYDER | THURSDAY, 8 OCT 2015

... executive activity, ensure the robustness of financial controls and risk management systems, and to oversee ongoing compliance with the relevant laws and licensing requirements. Mercer managing director and Pacific market leader, Ben Walsh, said O'Connor ...

Adviser Ratings reaches 4,000 planners

ALEX BURKE | WEDNESDAY, 7 OCT 2015

... their profiles on Adviser Ratings with more information about their qualifications, memberships of industry bodies, compliance and experience, while providing their clients with the chance to review their performance," according to co-founder Angus Woods. ...

ASIC hits advice firm with more licence conditions

ALEX BURKE | FRIDAY, 2 OCT 2015

ASIC has increased its surveillance activity on Total Financial Solutions Australia advisers, following compliance concerns. The surveillance commenced in October 2014 and focused on TFSA product advice, which ASIC identified as having a "one-size-fits-all ...

Outsourcing is the future of compliance

ALEX BURKE | WEDNESDAY, 23 SEP 2015

The wealth management sector will increasingly outsource its administration systems to streamline compliance issues, according to Bravura Solutions Asia Pacific managing director Roland Slee. Speaking at a media briefing in Sydney, Slee said that because ...

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Mulino brings New Class of Advisers to life, guarantees fairer CSLR funding

KARREN VERGARA

Assistant treasurer Daniel Mulino will forge ahead with the New Class of Advisers (NCAs) as part of highly anticipated Delivering Better Financial Outcomes (DBFO) reforms and laid out a blueprint of how the Compensation Scheme of Last Resort (CSLR) will be fairer for financial advisers.

Munro Partners to acquire GSFM

VINNY VUCAGO

Munro Partners will acquire GSFM, the Australian investment fund management affiliate of CI Global Asset Management, in a deal designed to strengthen its local distribution capabilities.

Treasury consults on foreign investment framework reforms

RIDDHIMA TALWANI

Treasury has opened a consultation to review existing conditions required for foreign investment approvals in Australia.

Australians struggle to navigate super and age pension divide

VINNY VUCAGO

Australians are approaching retirement with growing uncertainty about how superannuation and the Age Pension will work together, with new research pointing to gaps in both preparedness and confidence.

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