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Showing 2781 - 2790 of 3529 results for "compliance"

Hunter Hall names Lowenstein replacement

ELISE BURGESS  |  FRIDAY, 25 NOV 2011
... risk manager in addition to his role as ethical analyst. In this dual position, Walsh will be responsible for fund compliance in portfolio construction and risk rules, as well as other investment mandate requirements.

Bennelong awarded 'recommended' rating by Lonsec.

CLAIRE MCGREAL  |  THURSDAY, 24 NOV 2011
... 2008, in partnership with Bennelong Funds Management, who provides the team with back office infrastructure such as compliance, finance, marketing and sales support. The Lonsec report noted that "the rating of the Fund is underpinned by the quality and ...

Sunsuper appoints State Street as custodian

ELISE BURGESS  |  TUESDAY, 22 NOV 2011
... State Street will now provide a suite of custodial and administration services to Sunsuper, including unit pricing, compliance monitoring, performance reporting, alternative asset reporting, and tax and accounting services. Greg O'Sullivan, head of sales ...

Challenger appoints head of Boutique Partnerships

RACHEL DAVIS  |  WEDNESDAY, 16 NOV 2011
... boutique investment companies, Challenger provides investor services, distribution and marketing, administration and compliance support. Challenger has 10 boutique managers across numerous asset classes including inflationlinked bonds, global credit ...

APRA urges trustees to adhere to industry standards

CLAIRE MCGREAL  |  WEDNESDAY, 16 NOV 2011
... assets of an RSE and/or RSE licensee. It should therefore be treated as a 'material business activity', which requires compliance with the provisions of the Outsourcing Standard," wrote Greg Brunner, APRA, general manager, Supervisory Support Division. ...

Research houses in regulatory spotlight

CLAIRE MCGREAL  |  WEDNESDAY, 16 NOV 2011
... priority to promote confident and informed investors." Consultation Paper 171 also suggests that research houses lodge a compliance report every two years, where they would relay their methodology and processes, internal conflicts management procedures ...

Regulators chase social media

ELISE BURGESS  |  FRIDAY, 11 NOV 2011
... practices," an ASIC spokesperson told Financial Standard "Clearly momentum is gathering for some sort of comprehensive compliance guideline," said the paper. Socialware, a social media management software producer for advisers, completed a survey last ...

ASX names former ASIC head new Corp Governance chair

ELISE BURGESS  |  THURSDAY, 10 NOV 2011
... 2001 and deputy chairman from 2003 until its merger with ASX in 2006. Cameron is already chair of the board of ASX compliance which monitors and enforces compliance with ASX's operating rules, along with his duties as chair of Hastings Funds ManagementWestpac's ...

Paragem sells dealer services to netwealth

CLAIRE MCGREAL  |  MONDAY, 7 NOV 2011
... services to underpin the growth and competitive advantage of the Paragem Wholesale AFSL. Paragem Dealer Services include compliance and risk management, professional development, practice improvement, software, education and research - all critical to ...

APRA accepts EU from former Trio director

CLAIRE MCGREAL  |  FRIDAY, 4 NOV 2011
... non-executive director of Trio from June 2007 until it collapsed in December 2009, as well as a member of the Risk and Compliance Committee for two years and a chair of the committee on and off over a period of a year. APRA's concerns included that Trio ...