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Showing 2651 - 2660 of 3529 results for "compliance"

DomaCom to partner with Perpetual on new platform

LAURA MILLAN  |  TUESDAY, 12 FEB 2013
... environmental and governance factors is very rigorous and will be instrumental in ensuring the DomaCom Fund have a solid compliance and governance base," DomaCom CEO Arthur Naoumidis said. "We are delighted to have partnered with an organisation of the ...

FoFA anxiety remains high: FPA

BEN COLLINS  |  TUESDAY, 12 FEB 2013
Compliance and the cost of regulation are the main concerns for financial planning businesses in the current environment, said the Financial Planning Association after a survey. Recent research shows that Future of Financial Advice compliance and the ...

ANZ appoints new chief risk officer for Australia

MARK SMITH  |  FRIDAY, 8 FEB 2013
... risk officer for New Zealand where she had responsibility for wholesale and retail credit risk, market, operating and compliance risk. She will report to chief risk officer Nigel Williams. "It's pleasing to be able to appoint somebody with Jennifer's ...

ASIC cancels national planning firm's license

MARK SMITH  |  THURSDAY, 7 FEB 2013
... ASIC's commitment to ensuring advice industry participants are meeting their key obligations, including having adequate compliance measures in place." AAA must now communicate the consequences of the license cancellation to its clients. In a separate ...

Social media anything but rocket science

MARK STORY  |  MONDAY, 4 FEB 2013
... the fundamental way they think about their business. "If all financial advisers are doing is struggling with FoFA and compliance, which is a minimum entry point - then get out of this business," Gardner concluded. "I'm doing this conference as one adviser ...

Conservative financial services job market in 2013

MARK SMITH  |  THURSDAY, 31 JAN 2013
... market. Regulatory change rather than global growth is likely to drive much of the hiring in 2013 as firms seek risk and compliance specialists to help them grapple with the likes of Basel III, Dodd-Franks and the Future of Financial Advice reforms ...

Mac Private Wealth forced to rectify serious deficiencies

MARK SMITH  |  WEDNESDAY, 30 JAN 2013
... Wealth has given the Australian Securities and Investments Commission an enforceable undertaking to right recurring compliance deficiencies dating back more than five years. The regulator's review of compliance systems and client files, which began in ...

HESTA retains J.P. Morgan for custody services

BEN COLLINS  |  TUESDAY, 29 JAN 2013
... fund, and the decision would see it continue to provide custody, portfolio administration, securities lending, and compliance and unit pricing services. HESTA executive manager of investments and governance Rob Fowler said that the industry super fund ...

FATCA outcome remains unclear

MARK SMITH  |  MONDAY, 21 JAN 2013
The full impact of the Foreign Account Tax Compliance Act (FATCA) regulations from the US Treasury and IRS on Australian financial institutions is still uncertain, says Ernst & Young's Paul Siviour. Ernst & Young's Oceania Banking and Capital Markets ...

Would-be clients snub advice

MARK SMITH  |  FRIDAY, 18 JAN 2013
... legislation. It is measured using the Acquire Index, which incorporates seven benchmark categories including assurances, compliance, quality, understanding, intention, reaction and environment. The research group attributed the fall in 'intention', which ...