Search Results | Showing 2821 - 2830 of 3529 results for "compliance" |
| | | ... practice." The advice centre will discuss the best ways to handle such issues as adviser support systems through to compliance, client experience considerations and marketing and provide supporting material for its advisers, including working with advisers ... |
| | | | Lack of compliance understanding and industry-wide consensus is hindering advisers from using managed discretionary accounts to their full potential, but new reforms may soon push them into the spotlight, said Institute of Managed Accounts Providers. ... |
| | | | ... outpace the rest of the world in IT investment over the next four years as the need for enhanced internet services and compliance technology fuels spending. According to technology research firm Ovum, the Asia Pacific wealth management industry's IT ... |
| | | | ... indicated its intention to change to a general advice model, implemented training programs and other systems to address compliance risks. JBG Structured Investments, part of JB Global, was also investigated over marketing material and a product disclosure ... |
| | | | ... officer Richard Shaw, chief information officer Bryn Nicholson, head of accounting James Garnsey and a head of risk and compliance member that has yet to be appointed. |
| | | | ... actuarial certificates. "In an industry that is characterised by complexity, legislative reform and penalties for non-compliance, the provision of this level of automation makes SMSF administration more seamless," said Geoff Morley, senior actuary, Bendzulla. ... |
| | | | Bloomberg has integrated its electronic communications compliance software Bloomberg Vault with Microsoft Office 365, incorporating cloud archiving in the product the firm said today. The product helps financial services firms meet global regulatory ... |
| | | | ... recognition from your peers and to have won an award that's recognised by the industry, based on ethical standards, compliance standards and a duty of care, is a great honour," he said. "It's been a tough environment for clients, advisers and the industry ... |
| | | | ... activity" since January. The regulator has now issued a report, expressing grave concerns over the state of fairness and compliance in the financial services markets. Since January, there were 23,494 trade surveillance alerts, with preliminary enquiries ... |
| | | | ... trading issues. This was nearly double the 14 actions involving ETFs of the previous period. Remediation through agreed compliance action was achieved in 13 of the 22 cases. In the report, the regulator said it was increasingly active in identifying ... |
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