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Showing 2321 - 2330 of 3524 results for "compliance"

Independent dealers in M&A mode

ALEX BURKE  |  MONDAY, 27 JUL 2015
... the sector," he said. Advice scandals, he continued, have also forced institutions to significantly increase their compliance activity, raising costs and making further expansion in the wealth management space unattractive: "There's never been such a ...

Accountants flood independent licensee

LAURA MILLAN  |  THURSDAY, 23 JUL 2015
... course in an intensive two-day workshop," he said. GPS Wealth offers an induction program which details the regulatory compliance framework. The program also examines the financial planning opportunity and the various, practical options for accountants ...

Macquarie pays $11m advice compensation so far

LAURA MILLAN  |  THURSDAY, 23 JUL 2015
... seek a file review. "We are satisfied that the Macquarie Private Wealth business has been transformed in terms of its compliance and processes," he said. McCann added that its cost of compliance has quadrupled over the last four years to $413 million ...

Companies failing to meet ATO benchmark

DARREN SNYDER  |  TUESDAY, 21 JUL 2015
... testing is important here - boards need to be satisfied that the control framework is robust enough to manage the tax compliance risk effectively, with the ATO watching," Drummond said. "The two key questions for boards are: how does the organisation ...

Class partners actuarial certificate provider

MARK SMITH  |  MONDAY, 20 JUL 2015
... certificate stored with the record of the percentage. Class chief executive Kevin Bungard said: "Speed and accuracy in SMSF compliance are essential for actuarial service providers and their clients. As Class focuses on setting benchmarks for innovative ...

ASIC bans auditor and adviser

ALEX BURKE  |  WEDNESDAY, 15 JUL 2015
... auditing services after concluding he had "failed to obtain sufficient appropriate audit evidence" to ensure three funds' compliance with the Superannuation Industry (Supervision) Act 1993 in 2011 and 2012. Brennan also failed to lodge written audit ...

86 billion Euros are in the mail, just

BENJAMIN ONG  |  TUESDAY, 14 JUL 2015
... before a tranche of the bailout funding is released. Problem is... Greece can legislate all it wants, enforcement and compliance is the problem as they were after the first bailout and the second bailout. Third time lucky? If Greece wasn't able to enforce ...

More calls for Royal Commission

DARREN SNYDER  |  MONDAY, 13 JUL 2015
... Kelaher has said each of the allegations that have been canvassed publicly have been investigated by the company's compliance team and through the ordinary course of their duties. IOOF had paid $2.8 million in compensation to 57 customers of its authorised ...

Queensland director banned for two years

DARREN SNYDER  |  FRIDAY, 10 JUL 2015
... Monetizer Fund. This transition was not effective and as a result, the Paladin Monetizer Fund has been unable to meet its compliance obligations with ASIC. ASIC Commissioner Greg Tanzer said Responsible Entities are entrusted with property that belongs ...

Claims of wrongdoing have no basis: IOOF

DARREN SNYDER  |  TUESDAY, 7 JUL 2015
... of fact. "I'm confident that I can confirm to you and the broader community that the company has an extremely strong compliance culture and claims of widespread wrongdoing have no basis of fact," Kelaher said. For the most part of the morning, Labor ...