Search Results | Showing 351 - 360 of 540 results for "Supervision" |
| | | ... Brogden said offering incentives in this context was expressly forbidden by the SIS Act. "The Superannuation Industry Supervision Act has broad-based provisions which prohibit superannuation funds and related entities from offering enticements to employers ... |
| | | | ... compliance, in particular processes, controls and systems previously in place, such as record keeping, monitoring and supervision." It confirmed that its wealth management division has about 87,000 clients, "of whom a significant number are high net ... |
| | | | ... and general supervisory control requirements." However, regulators are "increasingly using social media sites in the supervision of firms to identify personal relationships between parties and as a source of general information". But use of new technology ... |
| | | | ... ASIC's mandate, skills, powers and funding model. This is part of a broader point on the importance of active industry supervision and need for strong, independent and accountable regulators. Flowing from these observations, the interim report canvasses ... |
| | | | ... ongoing advice reviews, upfront advice, customer satisfaction and compliance. CBA has so far spent $25 million in the "supervision and monitoring of advisers." This includes online document storage and a system which shows all adviser activity, including ... |
| | | | ... at CBA. "The people still working here are not giving bad advice," he noted, and added that they are "in constant supervision and monitoring to make sure that they are delivering good advice to clients." Narev avoided saying how many customers could ... |
| | | | ... undergone structural, cultural and management changes, with the introduction of new robust systems and processes for the supervision and monitoring of advisers," the bank argued. Read the full Senate Economics Committee report into ASIC here Read all ... |
| | | | ... The Australian Prudential Regulation Authority (APRA) and Treasury have issued a discussion paper on the proposed supervision levies they wish to impose on financial entities for next financial year. In the paper APRA said it needs to raise $117 million ... |
| | | | ... ASIC deputy chairman Peter Kell said. Under the enforceable undertaking, LCL Capital will face a 15 month regime of supervision, review and audit of their authorised representatives by an ASIC approved, independent senior financial planning expert. This ... |
| | | | ... version of its Total Care Plan Super product, updated to meet the new requirements in the Superannuation Industry (Supervision) Act (SIS Act), which come in to force on 1 July this year. One of its central features is 'Split TPD', whereby policyholders ... |
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