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Showing 2791 - 2800 of 3529 results for "compliance"

ASIC seeks interim orders against Equititrust

ELISE BURGESS  |  THURSDAY, 3 NOV 2011
... Corporations Act 2001 (the Act) requiring that it lodge audited financial reports for EIF and EPCIF and audited reports of its compliance for both schemes. In the hearing, ASIC will consider the suspension of Equititrust's Australian financial services ...

SMSF cloud solution launched

RACHEL DAVIS  |  TUESDAY, 1 NOV 2011
... financial planning dealer groups providing them with a structured, white label SMSF offering that can assist to improve compliance and help transition to a full fee for service offering. SMSFs are the fastest growing sector within the superannuation ...

AMP planning associations adopt insight products

ELISE BURGESS  |  TUESDAY, 1 NOV 2011
... product to provide strategic guidance during regulatory change. In response to predicted increases in operations and compliance pressures for practices, Sequential Project Services' Business Insights product provides practice owners and licensees a comprehensive ...

ASIC annual report highlights industry trends

ELISE BURGESS  |  MONDAY, 31 OCT 2011
... misconduct among businesses and licensees, a 17% increase on the previous year; 28% of misconduct reports were escalated for compliance, investigation or surveillance. Meanwhile, the number of managed accounts being launched in the last 12 months was ...

ASIC accepts Commonwealth Financial Planning EU

MEDIA RELEASE  |  WEDNESDAY, 26 OCT 2011
... said, "This EU is significant as it requires CFP to comprehensively examine its risk management system to ensure non compliance issues will be detected at the earliest possible stage and remedied. "It demonstrates ASIC will hold gatekeepers to account ...

ASIC suspends Far East AFSL

CLAIRE MCGREAL  |  TUESDAY, 25 OCT 2011
... raised or managed capital raising of over $100 million in the last 10 years. ASIC maintained that despite their repeated compliance demands, Far East Capital failed to lodge financial statements, auditor reports and auditor opinions over consecutive ...

Industry panel turns up FOFA heat

RACHEL DAVIS  |  MONDAY, 24 OCT 2011
... bill to committee," he said. "It is simply part of the democratic process." Christina Kalantzis, principal, Alexis Compliance Risk Solutions, threw down the gauntlet with her uncompromising view that opt-in and best interest duty are both "a waste of ...

Multiport hits $2bn

ALEX DUNNIN  |  MONDAY, 24 OCT 2011
... executive officer, said the majority of their recent growth has come from SMSFs referred to Multiport's administration and compliance services by financial advisers, accountants and from direct clients. "While the SMSF segment has been growing at a healthy ...

Privacy Commissioner opens investigation into First State Super

ELISE BURGESS  |  THURSDAY, 20 OCT 2011
... Super following allegations that member records were able to be accessed by a third party. I will be looking at their compliance with the Privacy Act and in particular their data security practices," said Pilgrim. After speaking with Financial Standard ...

International planning expert urges advisers to voice FOFA concerns

CLAIRE MCGREAL  |  WEDNESDAY, 19 OCT 2011
Financial advisers are struggling to find time to meet with potential customers due to mounting compliance paperwork they have to complete as part of FOFA reforms. That's according to Canadian expert on financial planning Bruce Etherington, who has ...