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Showing 2411 - 2420 of 3524 results for "compliance"

ASIC to watch CBA advisers closely

LAURA MILLAN  |  FRIDAY, 14 NOV 2014
The Australian Securities and Investments Commission (ASIC) has appointed a compliance expert to examine the performance of advisers at Commonwealth Financial Planning and Financial Wisdom. KordaMentha Forensic will review past activities by Commonwealth ...

ASIC intervenes non-compliant Aurora listed funds

LAURA MILLAN  |  FRIDAY, 14 NOV 2014
... enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC) after the regulator identified compliance failings in some of its listed investment schemes. ASIC is concerned that Aurora did not comply with multiple 'substantial ...

Vanguard appoints head of key account management

MARK SMITH  |  WEDNESDAY, 12 NOV 2014
... four years. He joined the UK business as senior projects counsel before moving to Hong Kong in 2011 as head of legal & compliance and strategic planning Asia. "Matthew possesses an in-depth knowledge of Vanguard's global operations, and joins a team ...

Gold Coast advice firm enters EU over misleading ads

LAURA MILLAN  |  TUESDAY, 11 NOV 2014
... business' website, on YouTube, in in-flight magazines and in police journals. ASIC's investigation found that Equanimity's compliance processes in terms of its advertising were unsatisfactory and may have breached consumer protection credit laws. "Advertising ...

Sophisticated investor register launched

MARK SMITH  |  THURSDAY, 6 NOV 2014
A new online investor registry, aimed at modernising the compliance process for certifying sophisticated and wholesale investors, has been launched by Sophisticated Access (SA). The real-time registry, known as Cygura, is for investors and their accountants ...

Van Eyk spin-off signs first major client

MARK SMITH  |  TUESDAY, 4 NOV 2014
... about portfolio allocation. Most importantly, we sought a partner to build client friendly solutions within Sentry's compliance framework and assist advisers to deliver better, long term, sustainable returns for their clients," he said. The new consultancy ...

TAL super fund appoints independent directors

LAURA MILLAN  |  TUESDAY, 4 NOV 2014
... TASL's remuneration committee. Roslyn Ramwell has been appointed independent director and will chair TASL's audit, compliance and risk management committee. TASL currently has around $1.7 billion under management and around 100,000 members. "These are ...

ClearView names CEO and exec team

JAMES FERNYHOUGH  |  MONDAY, 3 NOV 2014
... will become the head of advice and will be responsible for technical services, paraplanning, CRM, research liaison and compliance. Mike Pope will take on the role of head of business development and have responsibility for practice management, professional ...

Westpac director resigns from board

MARK SMITH  |  MONDAY, 3 NOV 2014
... been a member of the Westpac Board since December 2011. During her time as a director, she served on both the risk and compliance and remuneration committees. Following her relocation to the United States, it is expected that her commitments as the of ...

Suncorp completes insurance review after breaches

JAMES FERNYHOUGH  |  WEDNESDAY, 29 OCT 2014
Suncorp has finalised an independent review and remediation of compliance systems across its life and general insurance businesses. The Australian Securities and Investments Commission (ASIC) requested the remediation program in June 2013 after it received ...