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Showing 2721 - 2730 of 3529 results for "compliance"

AFA releases draft code of conduct

BEN COLLINS  |  THURSDAY, 19 JUL 2012
... to ensure that the interests of both client and adviser are considered." The AFA has also taken a stringent line on compliance, stating that it would ensure all members abided by its rules by monitoring regulatory notifications and media related to its ...

FSC focuses FATCA talk on govt agreement

MELANIE TIMBRELL  |  WEDNESDAY, 18 JUL 2012
... John Brogden is back in Washington DC arguing for a country specific exemption for Australian super funds to avoid compliance burdens associated with the contentious FATCA regime. Under draft Foreign Account Tax Compliance Act (FATCA) regulations released ...

ASIC eyes off UL property

BEN COLLINS  |  WEDNESDAY, 18 JUL 2012
... As part of this review, the Australian Securities & Investments Commission (ASIC) is highlighting some areas where compliance behaviors could be improved to meet both the legal obligations of the responsible entities and good practice within the industry. ...

Aust lags in financial job market

MELANIE TIMBRELL  |  TUESDAY, 17 JUL 2012
... buy-side firms opportunistically taking on bankers keen for a more stable environment, an increased focus on risk and compliance due to fluctuations in markets and changing regulation and off-shoring roles to lower cost destinations within APAC. The ...

Dodd-Frank sees rise in virtual family offices

MELANIE TIMBRELL  |  FRIDAY, 13 JUL 2012
Growing costs associated with Dodd-Frank compliance are making single family offices in the US less sustainable, with virtual and multi family offices in favour as a result. Those were among the findings reported by the Advanced Planning and Family ...

Trio fraud victims demand compensation

ALEX DUNNIN  |  THURSDAY, 5 JUL 2012
... same protections as fraud victims in regulated funds that were required to follow much more onerous prudential and compliance operating standards. "In the case of Trio, it is a different situation," he said. "It is disingenuous for anyone to say that ...

Resi property portal targets planners, SMSFs

ALEX DUNNIN  |  WEDNESDAY, 4 JUL 2012
... of property investment portal Odyssey Property Solutions Australia. Beard said Odyssey created their portal because compliance focused SMSFs interested in residential property investment were often forced, ironically, to obtain advice about the sector ...

CFS upgrades its FirstWrap Platform

LINDA HAUSKEN  |  FRIDAY, 22 JUN 2012
... solutions, Colonial First State. Stevens said with industry pressures including regulatory reforms, market volatility and compliance, advisers using e-Post would be able to focus on providing quality advice to clients, not on cumbersome administration. ...

ALI penalised after compliance failures

BEN COLLINS  |  WEDNESDAY, 20 JUN 2012
The Australian Securities & Investments Commission has imposed additional compliance conditions on Sydney-based insurance group, Australian Life Insurance Distribution Pty Ltd for failing to comply with a number of its obligations as an Australian financial ...

ASIC issues short PDS guidance

BEN COLLINS  |  TUESDAY, 19 JUN 2012
... industry and monitor the situation to see how people respond to these changes. ASIC will take a facilitative approach to compliance for the first six months after the shorter PDS regime commences on 22 June 2012'," he said. Provided industry participants ...