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Showing 311 - 320 of 557 results for "Supervision"

EQT appoints former Deutsche Bank VP

JAMIE WILLIAMSON  |  THURSDAY, 4 MAY 2017
... largest independent RE service provider, servicing more than 100 clients, 240 funds and over $50 billion funds under supervision.

InFocus restructures to support growth

JAMIE WILLIAMSON  |  THURSDAY, 27 APR 2017
... financial advice for clients; and our technology business, as more advisers leverage the real-time monitoring and supervision capability and deep client engagement and advice management tools within our proprietary software, Platformplus," Bristow sa ...

ASIC spots forex breaches at ANZ and Westpac

ALEX BURKE  |  WEDNESDAY, 15 MAR 2017
... hedging." Westpac and ANZ's EUs will entail the banks developing a program of changes to their existing FX employee supervision systems which will be assessed by an independent consultant. For a period of three years, senior Westpac and ANZ executives ...

Professional standards spark SAFAA training

DARREN SNYDER  |  THURSDAY, 23 FEB 2017
... commencing 1 January 2019. This includes compulsory education requirements for new and existing financial advisers, supervision conditions for new advisers, an industry-wide benchmark exam and a code of ethics as part of the mandate. GRC will be offering ...

Landmark advice reforms pass Senate

EMMA RAPAPORT  |  FRIDAY, 10 FEB 2017
... From 1 January 2019, new advisers will be required to hold a relevant degree before they are eligible to commence the supervision year and to sit the exam, and existing advisers will have two years to pass the exam and five years to reach a standard ...

Two of the big four in ASIC spotlight

ALEX BURKE  |  THURSDAY, 22 DEC 2016
... ASIC's undertakings mean both NAB and CBA will make changes to their respective systems, controls, monitoring and supervision to detect and respond to instances of market manipulation, inappropriate trading and disclosures of confidential information. ...

Super disputes kept aside in Treasury review

DARREN SNYDER  |  WEDNESDAY, 7 DEC 2016
... resort compensation scheme, it is worth acknowledging the APRA-regulated superannuation sector is subject to prudential supervision and already has a statutory compensation scheme in place. This scheme, under Part 23 of the Superannuation Industry (Supervision) ...

Professional Standards legislation hits parliament

KERRIE SYDEE  |  WEDNESDAY, 23 NOV 2016
... Standards of Financial Advisers) Bill 2016 includes compulsory education requirements for new and existing advisers; supervision requirements for new advisers; an industry code of ethics; an exam to create a common benchmark across the industry and an ...

CBA responds to systemic advice failures

KERRIE SYDEE  |  FRIDAY, 28 OCT 2016
... CFPL's long-term business transformation, we have made significant improvements, including to our systems, processes, supervision and training. "In addition, following the Future of Financial Advice reforms, customers also receive annual fee disclosure ...

Self-auditing SMSF auditor caught in ASIC breach

JAMIE WILLIAMSON  |  THURSDAY, 27 OCT 2016
... documentation. Jarjoura was referred to ASIC by the Australian Tax Office under section 128P of the Superannuation Industry (Supervision) Act 1993 (the SIS Act), which requires all auditors of SMSF to be registered with ASIC to ensure they all meet the ...