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Showing 2361 - 2370 of 3526 results for "compliance"

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. ...

Report confirms failed CBA compensation

LAURA MILLAN  |  THURSDAY, 23 APR 2015
... notified if they were entitled to compensation. KordaMentha was appointed by ASIC in November 2014 to examine CFPL and FWL compliance under the limited Australian financial services licence (AFSL) conditions that the regulator imposed on the licensee ...

Sacked Macquarie advisers still in the industry

LAURA MILLAN  |  TUESDAY, 21 APR 2015
... completely transformed business" that has put in place "significant new management." He said that 82% of the current compliance team is new and more senior than prior teams. The business has also put together a practice management team that "sits with ...

Hedge funds bare all to seduce instos

LAURA MILLAN  |  TUESDAY, 21 APR 2015
... managers need to take into account other factors such as good management, a recognised chief financial officer, a good compliance process, a sound business plan and independent directors. "We are seeing a huge percentage of investment operations where ...

Qualitas grows team with senior appointments

LAURA MILLAN  |  TUESDAY, 21 APR 2015
Real estate investment specialist Qualitas has appointed a head of compliance and legal, a risk analyst and an investment analyst, bringing the size of the team to 35 people. Head of compliance and legal Ruth McClelland joined Qualitas from K2 Asset ...

Trowbridge proposals will hit consumers hardest

ALEX BURKE  |  MONDAY, 20 APR 2015
... hybrid remuneration model proposed in ASIC's October 2014 Review of retail life insurance advice resulted in a 93% compliance pass-rate - indicating that it should be adopted as the standard. He argued that the FSI's "job", then, should have been to ...

Decimal Software partners with US fintech giant

LAURA MILLAN  |  TUESDAY, 14 APR 2015
... headquartered in the US about providing a single platform across all their channels to automate advice giving and manage compliance in real-time across all product sets." The statement said that the company is "helping some major finance and banking ...

Views sought on super form changes

DARREN SNYDER  |  WEDNESDAY, 8 APR 2015
... announced the legislation is to be active from July 1, 2015. Changes to the choice regime will reportedly "reduce the compliance burden on businesses, especially small businesses." "In particular, employers will no longer incur the choice shortfall penalty ...

Regulatory changes stifling innovation

ALEX BURKE  |  TUESDAY, 7 APR 2015
... Accordingly, the industry should expect to continually improve its transparency, accuracy, reporting, operational and compliance arrangements. "Other service providers are expected to increasingly step up to help them meet reporting requirements (such ...