Search Results | Showing 361 - 370 of 557 results for "Supervision" |
| | | ... advisers giving personal advice, mandatory continual professional development (CPD) for all advisers, and monitoring and supervision for all new financial advisers. The submission argued that the financial planning industry is not ready to regulate itself. ... |
| | | | ... flagship platforms. The money IOOF manages on behalf of others (funds under management, advice, administration and supervision, or FUMAS) increased by $1.7b to $121.9b this financial year. On a standalone basis, IOOF's flagship platforms, experienced ... |
| | | | ... required to undertake such courses should be Diploma and all courses should be assessed to at least 40% under independent supervision. The TPB asked the course on taxation law to cover concepts such as income, deductions, residence, the principles of ... |
| | | | The Australian Prudential Regulation Authority (APRA) has released the updated framework for the supervision of large financial institutions, but will defer a decision on its final implementation until the end of the Financial System Inquiry (FSI). ... |
| | | | The Federal Government has released an exposure draft proposing to amend the Superannuation Industry (Supervision) (SIS) Act to require default superannuation funds to process all default contributions. The amendments would mean that employers would ... |
| | | | ... a number of former representatives of AAA Intelligence limited. PGW Financial Services has implemented a regime of supervision, review and audit by a compliance expert for at least 15 months. The licensee came under ASIC scrutiny when it appointed a ... |
| | | | ... to conduct "a coaching and mentoring exercise" with PIS advisers. Over the past year, the group has been under the supervision of an independent expert that reported to ASIC every three months. PIS' professional standards team has worked with the practices ... |
| | | | ... 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 ... |
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