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Showing 2861 - 2870 of 3531 results for "compliance"

Kearney Group earns top planning award

MATT WOODINGTON  |  WEDNESDAY, 11 MAY 2011
... 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 ...

ASIC moves to protect OTC retail investors

MATT WOODINGTON  |  TUESDAY, 10 MAY 2011
... 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 ...

ASIC bans "deceptive" planner for five years

ALISON BEVEGE  |  FRIDAY, 6 MAY 2011
... 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.

Count morphs into super entity with new AFSL

ELISE BURGESS  |  THURSDAY, 5 MAY 2011
... 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 ...

Securitor to grow planner network

MATT WOODINGTON  |  FRIDAY, 29 APR 2011
... 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 ...

New SMSF course on offer

ALISON BEVEGE  |  THURSDAY, 21 APR 2011
... 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 ...

ASIC silent on possible research probe

ALISON BEVEGE  |  TUESDAY, 19 APR 2011
... 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 ...

UK FSA fines false advice

MICHELLE BALTAZAR  |  TUESDAY, 19 APR 2011

Planners train up for social media regulations

ELISE BURGESS  |  TUESDAY, 19 APR 2011
... 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. ...

Premium appoints former Aust Ethical sales head

MICHELLE BALTAZAR  |  MONDAY, 11 APR 2011
... 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.