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Showing 2421 - 2430 of 3524 results for "compliance"

ASIC to crack down on big four, AMP and Macquarie

LAURA MILLAN  |  TUESDAY, 21 OCT 2014
... its Strategic Outlook for 2014/2015. ASIC said it will conduct "proactive risk-based surveillance, concentrating on compliance in large financial institutions, and advice and dealing activities." It will focus on the financial advice arms of AMP, Commonwealth ...

Adviser Ratings website to launch paid options

LAURA MILLAN  |  THURSDAY, 16 OCT 2014
... about is a good thing," he said. To populate his profile, Bingham filled a form with information about his business' compliance profile, his education and the fact that he belongs to an industry association. With the launch of a similar service by BT ...

One third of risk advisers non-compliant, ASIC says

JAMES FERNYHOUGH  |  THURSDAY, 9 OCT 2014
... number recommendations to advisers and insurers, and is conducting follow-up investigations in certain cases of non-compliance.

Poor advice forces changes to SMSF practice

LAURA MILLAN  |  THURSDAY, 2 OCT 2014
... Securities and Investments Commission (ASIC) by putting in place a number of changes. The new processes include appointing a compliance expert to review, assess and make recommendation on the practice's advice. The practice will also write to all clients ...

ASIC suspends advice firm for three months

LAURA MILLAN  |  WEDNESDAY, 1 OCT 2014
... Commission (ASIC) has suspended a boutique financial planning practice for three months after it failed to comply with its compliance obligations. Protect Ensure, with offices in Brisbane and Sydney, has had its Australian financial services licence ...

AAP adds five boutique firms in a month

LAURA MILLAN  |  MONDAY, 29 SEP 2014
... independence as advisers realise they don't need the support of a big institution to cope with the increased regulation and compliance around the FOFA reforms." She said that advisers are increasingly looking for advice tools and back office systems ...

Dover in search of compliance staff

LAURA MILLAN  |  TUESDAY, 23 SEP 2014
Dealer group Dover Financial Advisers has appointed a new executive to the compliance team and identified the need for at least two more to accommodate advice firms' growth. According to the latest Rainmaker Advantage report from March 2014, Dover is ...

ASIC reviews FoFA progress

JAMES FERNYHOUGH  |  THURSDAY, 18 SEP 2014
... system updates, had been a major challenge. They also said the best interest duty brings with it a high risk of non-compliance, and they have depended upon the 'safe harbour' steps to help them determine what 'best interest' means.

SMSF closures drop 75% in 2014

LAURA MILLAN  |  WEDNESDAY, 10 SEP 2014
... data is preliminary and it only includes wind ups initiated by trustees and those that were closed as a result of ATO compliance and cleansing activity. Preliminary figures released on June 2013 only reported 2,230 wind ups. But the updated figures show ...

LGS Super launches DIY option

LAURA MILLAN  |  TUESDAY, 9 SEP 2014
... developed our DIY investment option to provide investment choices while delivering the level of service, administration and compliance that our members have grown to expect." The launch of this option follows similar announcements by Cbus and Qsuper ...