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Showing 2921 - 2930 of 3531 results for "compliance"

FSC launches trustmark for consumers

RUTH LIEW  |  THURSDAY, 12 AUG 2010
... Brogden said the Standards, Oversight and Disciplinary Committee of the FSC will have increased powers to review the compliance of member products and services as long as they bear the FSC trustmark. The initiative was launched in Melbourne, and is supported ...

Count chooses Outplan for paraplanning

COMPANY RELEASE  |  THURSDAY, 5 AUG 2010
... when it comes to scale," said Whelan. "Not only can this provide access to high quality plans that meet the necessary compliance requirements on an as needed basis, but also provides statements of advice that look and feel consistent with the rest of ...

SuperChoice teams up with Sage MicrOpay

PRESS RELEASE  |  FRIDAY, 30 JUL 2010
... Osborne, managing director at Sage MicrOpay, said many customers struggle with superannuation choice paperwork and fund compliance. "Employers are frustrated with partial solutions that don't really solve their problem and are poorly integrated with ...

AFA unveils chartered fin practitioners

MEDIA RELEASE  |  MONDAY, 26 JUL 2010
... follow a "pathway program" before they could receive the accreditation. The program includes units such as ethics and compliance in practice, client engagement and advice, understanding, applying implementing financial solutions, and managing an advice ...

Frozen fund investors get $36m settlement

COMMERCE COMMISSION RELEASE  |  THURSDAY, 22 JUL 2010
... $36 million (NZ$45 million) settlement fund arranged by the regulator after both funds breached marketing material compliance rules. In its largest monetary settlement to date, NZ regulator, the Commerce Commission, negotiated with ANZ National Bank ...

Citigroup hires Macq compliance exec

CITIGROUP MEDIA RELEASE  |  WEDNESDAY, 21 JUL 2010
Citigroup has appointed former Macquarie compliance head, Johanna Turner, as country compliance and control officer for Australia and New Zealand. She joins from Macquarie Group where she was global head of compliance for fixed income, currencies and ...

CFD health check prompts more oversight

MICHAEL HOBBS  |  TUESDAY, 13 JUL 2010
... and the risks associated with them prior to investing," he said. "We have made significant investments in legal and compliance which includes a team of nine staff dedicated to this area which represents the largest resource levels of this kind in the ...

Coding error review prompts sell rating

MEDIA RELEASE  |  FRIDAY, 9 JUL 2010
... completed by August 2010. "Although we gain comfort that the manager has taken steps to improve its internal risk and compliance processes, we believe that there is still some way to go before we have clarity around the effect of the coding error on ...

Aviva Investors selects Cadis for data

PRESS RELEASE  |  FRIDAY, 2 JUL 2010
... management. The technology firm's platform manages multiple data issues, front and back integration, data governance and compliance, security and reporting. "This implementation means Aviva Investors can now assign accountability to those responsible ...

UK planners to face tougher standards

ALEX DUNNIN  |  THURSDAY, 1 JUL 2010
The UK Financial Services Authority is imposing yet more compliance hurdles on financial planners, this time requiring them to hold a new Statement of Professional Standing. The FSA has just released a discussion paper regarding how these new rules ...