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Showing 2601 - 2610 of 3526 results for "compliance"

Trustees warned about unintentional SMSF contributions

JAMES FERNYHOUGH  |  FRIDAY, 21 JUN 2013
... contribution being made. Harley said SMSF holders should be particularly wary of unintentional contributions, which can affect compliance and contribution caps. Examples of such unintentional contributions are: non-market rent charged on a property owned ...

Customised portfolios ease FoFA burden

MARK SMITH  |  TUESDAY, 18 JUN 2013
... Alex Wise said that while FoFA has been 'a hard slog' for financial planners, those who have found solutions to their compliance issues are enjoying operational benefits. "On the investment side, customised portfolios in a fund structure provide unlimited ...

IFM mulls Asia office

ALICE URIBE  |  TUESDAY, 18 JUN 2013
... as part of the investigation into opening the business development office "We really need to understand all of our compliance obligations and licensing of the region. Somebody from our infrastructure team is also seeing a range of consultants and prospective ...

SEC charges US adviser with pension fund theft

ALEX DUNNIN  |  THURSDAY, 13 JUN 2013
... financial officer Blair D Ackman, chief operating officer Marsha Bass, chief investment officer W. Emery Matthew, and chief compliance officer and general counsel Alicia M Diaz. The SEC said the money stolen from a trust account for the pension fund ...

Big groups court AFS advisers with inducements

LAURA MILLAN  |  THURSDAY, 13 JUN 2013
... to a few of their advisers," BT Select managing director Phil Butterworth said. "In that process, we got to a mutual compliance due diligent process, they looked at us and we looked at them." BT Select then gave a presentation to some members of the ...

BDMs facing major changes without industry support

LAURA MILLAN  |  THURSDAY, 13 JUN 2013
... challenges as advisers, but they lack support from the industry, research shows. While the focus of regulatory changes and compliance has been on advisers, BDMs are also feeling the pressure, as they are working with both with advisers and product manufacturers. ...

SME with accountant advice are more successful: research

LAURA MILLAN  |  THURSDAY, 6 JUN 2013
... further promote their role as business advisers to SMEs. "Many business operators only use their accountant for tax compliance, especially around end of the financial year," he said. "They could also gain valuable information and advice on many areas ...

Merrill Lynch to pay $120k over compliance infringement

JAMES FERNYHOUGH  |  MONDAY, 3 JUN 2013
... been in contravention of Rule 5.6.3(a) of the ASIC Market Integrity Rules (ASX Market) 2010. Merrill Lynch had a poor compliance history, including a similar contravention which received the attention of the ASX Disciplinary Tribunal 2010. However, ASIC ...

Banks shift gears on technology spend

LAURA MILLAN  |  MONDAY, 3 JUN 2013
... developing and improving technology across all areas of the business. "Most people in the industry are investing in compliance with new regulation, but an important part of our business is making technology available, it is a big part of what we will ...

Sunsuper adds to investment committee

ALICE URIBE  |  THURSDAY, 30 MAY 2013
... activities, with particular responsibility for investment management and performance, policy-setting, administration, and compliance. "Continued strong growth in Sunsuper's assets gives us greater capacity to meet the dynamic challenges presented by ...