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Showing 2351 - 2360 of 3524 results for "compliance"

Advice not just compliance: Centrepoint

ALEX BURKE  |  FRIDAY, 15 MAY 2015
Centrepoint Alliance chief executive John de Zwart has called out advisers who focus on regulatory compliance without considering client satisfaction. He argued that licensees and practices are obsessed with "[their] own processes rather than the needs ...

ISA and AIST want changes to professionalism model

DARREN SNYDER  |  WEDNESDAY, 13 MAY 2015
... representative groups say the potential of ASIC's Financial Advisers Register can be harnessed "as a vehicle to ensure compliance with higher standards." "The financial planning industry will not be able to achieve its ambition of being regarded a profession ...

Former Mercer partner joins Cooper Investors

DARREN SNYDER  |  TUESDAY, 12 MAY 2015
... collaborating across global, Asian and Australian equities. The investment team is supported across fund accounting, legal, compliance, IT, client relations and administration, which will be led by Steve."

CCMC chief executive appointed as lead ombudsman

DARREN SNYDER  |  TUESDAY, 12 MAY 2015
The chief executive of the Code Compliance Monitoring Committee (CCMC) for the Code of Banking Practice, June Smith, will be leaving to expand her role at the Financial Ombudsman Service from July. Smith, who is also currently the general manager of ...

SSgA appointed to rebuild Findex investment strategy

LAURA MILLAN  |  MONDAY, 11 MAY 2015
... reliable, consistent performance," he added. He noted that SSgA's appointment is in line with the "overall investment and compliance framework and ties in with our recent acquisition of Crowe Horwath Australasia." SSGA Australia managing director of ...

ASIC developing regulatory guide for advice remediation

ALEX BURKE  |  WEDNESDAY, 6 MAY 2015
... financial advice institutions, most notably CBA, to determine instances where clients have been compromised by non-compliance or fraud. It will use its experience with these programs to develop a standardised process for future scenarios of this type. ...

Advisers need to educate

ALEX BURKE  |  FRIDAY, 1 MAY 2015
... "unbundling" SOAs so that the investment information "that's actually about the client" could be delivered separately to the compliance material, which she usually gave clients two weeks to read through and sign. She also argued that risk profiles were ...

Wealthsure to cancel AFS licence

LAURA MILLAN  |  FRIDAY, 1 MAY 2015
... Australian Securities and Investments Commission (ASIC) since August 2013. The regulator first identified recurring compliance failures within the group in December 2011 and has now issued a second EU for WPL and WFS. WFS will now be required to continue ...

Superannuation trustees under the spotlight: APRA

DARREN SNYDER  |  THURSDAY, 30 APR 2015
... and portfolio stress testing are areas where industry practice needs to further evolve. "Stress testing is not just a compliance exercise; it is a useful risk management tool that assists in identifying key risk exposures and understanding potential ...

Advisers Register hits 22k

DARREN SNYDER  |  WEDNESDAY, 29 APR 2015
... has also accepted enforceable undertakings from six licensees requiring them to undertake major improvements in their compliance procedures and entered into agreements with two licensees requiring them to review the way they undertake advice provision. ...