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Showing 2391 - 2400 of 3524 results for "compliance"

ASIC report highlights insufficient penalties

LAURA MILLAN  |  MONDAY, 2 FEB 2015
... July 1, 2014, and December 31, 2014. Of those, 90 related to financial services companies and 204 to small business compliance and deterrence. ASIC took 172 criminal actions against small business company directors and 21 administrative remedies against ...

APRA-ABS super surveys to commence Jan 2016

ALEX DUNNIN  |  THURSDAY, 29 JAN 2015
... definitional requirements of the ABS," noted the APRA letter. APRA and the ABS are, however, wary of imposing too much compliance burden on super funds and have announced that only RSEs managing more than $200 million in superannuation assets will need ...

Funds urge government to reject lift of super threshold

LAURA MILLAN  |  FRIDAY, 23 JAN 2015
... Taxation's recommendation. "The recommendations of the Board of Taxation appear to be proposed on the basis of removing compliance requirements for small business," Cbus chief executive David Atkin said. "Policy makers need to weigh policy recommendations ...

AdviserLogic launches licensee-to-adviser tech tool

STAFF WRITER  |  WEDNESDAY, 21 JAN 2015
... access to their AdviserLogic account for their licensee reduces the time and resources needed for the AFSL to complete a compliance check and means the check can take place in a fraction of the time," AdviserLogic head of product development Daniel Gara ...

Investment Trends releases 2014 platform report

ALEX BURKE  |  MONDAY, 19 JAN 2015
... platforms. Originally made available to Investment Trends clients in December, the report highlights increasing regulatory compliance burdens, growing adviser satisfaction across the board and platforms' focus on developing new tools and streamlining ...

APRA relaxes 'select' option data rules

ALEX DUNNIN  |  MONDAY, 19 JAN 2015
... proposals for this data were resisted by the super fund industry because they believed it imposed excessively heavy compliance and systems costs on funds. While the regulator itself has also declared it's having its own technology and data management ...

ASIC imposes conditions on Guardian Advice

STAFF WRITER  |  WEDNESDAY, 7 JAN 2015
... representatives. Under the conditions, Guardian Advice must appoint an ASIC-approved independent consultant to review its compliance with its general licensee obligations and develop a plan to fix any deficiencies found. The expert will report regularly ...

ASIC cancels boutique's AFSL

HARRY PAGE  |  THURSDAY, 18 DEC 2014
... licensees need to demonstrate that they have adequate financial resources to continue their financial services business in compliance with the law. "ASIC will act to remove companies from the advice industry where they do not have adequate financial ...

Australian Ethical backs NAB Climate Bond

HARRY PAGE  |  THURSDAY, 11 DEC 2014
... Its ethical credentials have been rigorously assessed against Australian Ethical's Charter, and it is certified in compliance with the international Climate Bonds International Standards," Vernon said. An added investment of $75 million is expected to ...

Court approves Premium Income Fund settlement

LAURA MILLAN  |  WEDNESDAY, 10 DEC 2014
... action started by PIF unit holders sought damages against the former fund manager, a number of its directors, and the compliance plan auditor (a partner of KPMG) in relation to alleged breaches of their obligations under the constitution, the compliance ...