Search Results | Showing 2631 - 2640 of 3529 results for "compliance" |
| | | ... investigation on the business focused on several weaknesses, including client money handling arrangements, controls to ensure compliance with its adjusted surplus liquid funds requirement and changes in management. ASIC also investigated issues such ... |
| | | | ... ASIC accepted an enforceable undertaking (EU) and said it was a warning to securities dealers to have and adhere to compliance and governance standards. "The EU requires Halifax to put in place a plan to rectify the deficiencies under the eyes of ASIC ... |
| | | | ... have been working closely with our advisers to understand their changing needs post FoFA, with issues such as fees, compliance, and process automation being at the top of the list. We believe our new SMSF certainly meets their needs in these respects," ... |
| | | | ... Queensland, New South Wales and Victoria. Following an ASIC review of CSS' operations in 2012, ASIC found several license compliance breaches including providing services outside those authorised under the license, breaching assessment and reporting ... |
| | | | ... Rubin has also served and chaired several fund committees including Investment; Member and Employer Services; Audit, Compliance and Risk Management; Nomination and Remuneration; and Budget Review. "I am delighted that Heather will succeed me as chair ... |
| | | | ... delivers more than 40% of mortgages in Australia, continues to show leadership in professional education, standards and compliance," he said. "We believe that enforcing high standards will mean that more people will want to be members if the MFAA.. and ... |
| | | | ... transactions has alarmed industry association SPAA, which claims the provisions are unnecessarily complex and will add compliance costs. The new provisions are contained in Schedule 4 of the SIS Act that was presented to Parliament last month but referred ... |
| | | | ... over 20 years' experience in the financial services industry. She has been a regulator, corporate counsel, head of compliance, strategic risk consultant as well as a trustee director. Chronican is ANZ's responsible office for retail and commercial business ... |
| | | | ... (APRA) and will be offering it from July 1 2013. PASF has chosen to offer its Growth investment option under MySuper compliance. This contrasts with other funds that turn their balanced options into MySuper. "Our MySuper offering will be similar to our ... |
| | | | ... is introduced providing certainty and stability," said the fund's chief executive Greg Sword. Nikki Schimmel, chief compliance officer at LUCRF, welcomed the early approval and credited the team that managed the application process. LUCRF, which stands ... |
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