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Showing 221 - 230 of 1621 results for "Responsibility"

Vanguard fined for defective account statements

KARREN VERGARA  |  MONDAY, 5 JUN 2023
... securities laws and regulations, and with applicable FINRA rules. A firm's duty of supervision includes the responsibility to reasonably investigate red flags that suggest misconduct may be occurring."

TPB grilled over handling of PwC scandal

JAMIE WILLIAMSON  |  THURSDAY, 1 JUN 2023
... relation to 2015, arguably no... In relation to today, I imagine they probably are." Pointing out that it's the TPB's responsibility to deal with what its members and member firms have done as opposed to what they might do in future, Pocock questioned ...

JPMorgan developing investment advice AI

ANDREW MCKEAN  |  TUESDAY, 30 MAY 2023
... team assists in assessing risks and building appropriate controls to prevent misuse. "With great power comes great responsibility, and we take the responsible use of AI very seriously," Beer said. "We have an interdisciplinary team that helps us to assess ...

More PwC staff to go, will remain anonymous

CASSANDRA BALDINI  |  TUESDAY, 30 MAY 2023
... of September," she said. "The business will have a standalone executive and governance board that will have the responsibility to consider the strategic options for the business, she added. Although investigations are still underway, Stubbins admitted ...

US debt ceiling agreement reached

CASSANDRA BALDINI  |  MONDAY, 29 MAY 2023
... agreement still represents a compromise. "This means no one got everything they want," he said. "But that's the responsibility of government and the deal is good news for the American people." Biden reinforced that the agreement prevents the "worst ...

Could the anti-woke movement come to Australia?

ROSE MARY PETRASS  |  WEDNESDAY, 24 MAY 2023
... same sort of crisis the US has faced." But ESG considerations, panellists said, should be considered part of the responsibility to members - not an add-on. And industry should actively reject the use of this type of politicised language. This language ...

AFCA outlines systemic issues in wealth management

ANDREW MCKEAN  |  TUESDAY, 23 MAY 2023
... 2001 related to client suitability assessments for trading. A particular financial firm was found negligent in its responsibility to evaluate a client's aptitude for trading in high-risk investment products like contracts for difference (CFDs). The ...

Chief distribution officer leaves Praemium

CHLOE WALKER  |  TUESDAY, 23 MAY 2023
... business and its strategic direction." Meanwhile, Praemium said: "Denis Orrock, chief strategy officer has assumed responsibility for distribution, marketing, customer success, and platform operations," Praemium said. "Denis will play a key role in building ...

UBS outlines new operating model, leadership

CASSANDRA BALDINI  |  WEDNESDAY, 10 MAY 2023
... subsidiaries and branches, serve its clients, and deal with counterparties and the UBS board will hold overall responsibility for the consolidated group. Pending further integration, Credit Suisse AG will continue to rely on its established governance ...

US Federal Reserve hikes interest rates

ANDREW MCKEAN  |  THURSDAY, 4 MAY 2023
... remain strongly committed to bringing inflation back down to our 2% goal," Powell said. "Price stability is the responsibility of the Federal Reserve, without price stability the economy doesn't work for anyone. Without price stability we will not ...