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Showing 2441 - 2450 of 3524 results for "compliance"

Premium hires former IOOF exec for compliance role

ALICE URIBE  |  WEDNESDAY, 30 JUL 2014
Premium Wealth Management has hired former IOOF audit manager to head up its compliance division. Johan Cruz managed the audit for a number of businesses, including the Lonsdale dealer group while at IOOF.A He also spent two years at Count Financial ...

ASIC puts an end to PIS monitoring program

LAURA MILLAN  |  TUESDAY, 29 JUL 2014
... concluded with the Australian Securities and Investments Commission (ASIC) reporting "a significant improvement in its compliance and audit functions." The Centrepoint-owned dealer group has "made transformational strides," Centrepoint managing director ...

ASX agrees to changes after ASIC review

MARK SMITH  |  MONDAY, 28 JUL 2014
... Commission (ASIC) in a recent review. The changes will affect the way the ASX monitors market participants and enforces compliance as well its clearing and settlement operations. The issues did not cause ASIC to qualify the conclusion that ASX adequately ...

Macquarie tight-lipped on EU details

LAURA MILLAN  |  FRIDAY, 25 JUL 2014
... Private Wealth said it has appointed a new management team. The group said that it is focusing on "effectiveness of compliance, in particular processes, controls and systems previously in place, such as record keeping, monitoring and supervision." It ...

Investors vulnerable as property schemes shirk risk disclosure

JAMES FERNYHOUGH  |  WEDNESDAY, 23 JUL 2014
... be questioned about their disclosure. ASIC will also be meeting with industry to discuss its concerns and follow up compliance. "Schemes need to address each and every disclosure element in each benchmark and disclosure principle fully," Tanzer said. ...

RBS enters enforceable undertaking

STAFF WRITER  |  TUESDAY, 22 JUL 2014
... required to undertake certain remedial measures with respect to its trading in Reference Bank Bills. An Independent Compliance Expert will be required to review and report on RBS's compliance with the EU in respect of these remedial measures. ASIC will ...

ASIC cancels 8 AFSLs after review

LAURA MILLAN  |  TUESDAY, 22 JUL 2014
... demonstrating it has adequate financial resources to provide the services covered by its licence and to conduct the business in compliance with the Corporations Act 2001.

CBA to fund adviser education and association membership

LAURA MILLAN  |  FRIDAY, 18 JUL 2014
... right." "We've aligned the planners to the managers and everyone has a risk gate opener, which is about quality and compliance," she said, and added: "if there's any issues with quality of advice or compliance, that will act to immediately stopping any ...

Australian Unity added 14 planning practices in a year

MARK SMITH  |  THURSDAY, 17 JUL 2014
... services for advisers including technical support, asset allocation, investment research, risk insurance, para-planning, compliance, practice management, marketing and back office areas. "Advisers tell us they are drawn to Australian Unity because of ...

Hedge funds risk collapse without middle office upgrades

MARK SMITH  |  WEDNESDAY, 16 JUL 2014
... institutions are increasingly beginning their conversations with all fund managers with a discussion about risk and compliance, rather than potential returns. "Many hedge funds have fundamentally re-evaluated their business models following new regulations ...