Search Results | Showing 2851 - 2860 of 3529 results for "compliance" |
| | | ... practice option at $2200 per year adds tools to the package to make it more profitable for an advisory business, such as compliance documentation and white-label content to generate revenues. |
| | | | Tyndall Investments has made two appointments for the launch of its new enterprise risk, compliance and legal team and expects more senior arrivals to follow. The new division earmarks the start of Tyndall's strategy to build its business and administrative ... |
| | | | ... Summit in New York, also found that 84 per cent of financial services companies had increased spending on regulatory and compliance systems in the last two years. Another notable shift in IT spending is an increased capital allocation to managed solutions ... |
| | | | ... growth for the outsourcing. The change will affect FIA's ten planning firms with over 35 advisers, who will now receive compliance, practice development, research and advice solutions through Licensee Select. The contract started on March 22 after a ... |
| | | | Infocus Money Management has appointed its own head of professional standards and compliance, Lyn Dixon, to support its 75 planning offices. Dixon, formerly manager of compliance and professional standards at ING Australia's Tandem Financial Advice ... |
| | | | ... industry, corporate and retail super funds by delivering outsourced 'custodian agnostic' unit pricing, performance, compliance and other middle services. |
| | | | ... Future of Financial Advice (FOFA) reforms. "What we are seeing are licensees and advisers purchasing the AdvsierTECH compliance tool due to FOFA structure being pushed. Advisers are under a lot more responsibility to understand the technical and strategic ... |
| | | | ... with financial services laws. Kedesco must remove Ronald Bray as the key person for the AFS license and document its compliance procedures during its suspension period or its license will be cancelled, ASIC said. Bray said neither Kedesco nor Whitting ... |
| | | | ... selected on a number of criteria including provision of top quality advice, meeting licensee's standards on "A grade compliance", diversity of income streams and commitment to practice development. Advocacy within and for the Securitor group, first rate ... |
| | | | ... for difference and margin forex should have enough skin-in-the-game to commit to the success of the business and its compliance with laws," said Greg Medcraft, commissioner, ASIC. "Increasing numbers of Mum and Dad investors are trading in these products ... |
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