Search Results | Showing 2861 - 2870 of 3531 results for "compliance" |
| | | ... 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 ... |
| | | | ... the right to appeal against the decision to the Administrative Appeals Tribunal. ASIC said it would be focusing on compliance in "quality of advice" this year. |
| | | | ... superannuation offerings through APRA. "As a result, we will have an important role in monitoring suppliers, governance, compliance and risk management while our capital requirements may increase," Gale said. In terms of an IDPS, Count will put in an ... |
| | | | ... dealer groups, BT Financial Group. Securitor is looking to grow its network but will not jeopardise its culture or compliance in doing so. "What we see from surveying our advisers is they value the work we do with them. So yes we are constantly looking ... |
| | | | ... allocated 63 continuing professional development points to the course with successful graduates satisfying the ASIC RG146 compliance requirement in the area of SMSFs, Cavendish said. Cavendish & ICFS Specialist SMSF Course, jointly offered with the International ... |
| | | | ... to comment. Auditors WHK Group and KPMG also failed to pick up discrepancies. KPMG signed an audit of Trio Capital's compliance plan for Astarra Strategic three weeks before regulators froze Trio's managed investment schemes, stating Trio had "complied ... |
| | | | ... Socialware said social media will be the new competing space for financial planners with the program offering guidance on compliance, Facebook, Twitter and LinkedIn along with updates on new techniques, social media developments and compliance updates. ... |
| | | | ... sure the needs of our 60 planners are well looked after," he said. The group has also appointed Shannon Durrant as compliance manager, replacing Helen Bridgewood who retires this year after 10 years with the company. |
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