Search Results | Showing 371 - 380 of 539 results for "Supervision" |
| | | ... concerned that Groeneveld, who was a non-executive director of Trio, had contravened the Superannuation Industry (Supervision) Act 1993. Among APRA's concerns were that the board had not put sufficient pressure on Trio to cease making investments with ... |
| | | | ... Policy Platform, which offered support for improved transparency, unified global standards, manager authorisation and supervision, aggregated short position disclosure to regulators and new policies to reduce settlement failure. AIMA urged policymakers ... |
| | | | ... to clients resulted in referrals to entities related to Anne Street. There has also been inadequate monitoring and supervision of representatives. Anne Street has already started to improve its risk profiling tool and advice template documentation, it ... |
| | | | ... including general management, advising on market strategies, developing corporate and computer systems, training and supervision of sales staff and financial control functions. |
| | | | ... that it enshrines the role of financial advisers," he said. IOOF funds under management, advice, administration and supervision have increased 11% to $120.2 billion. Excluding the recently acquired Plan B in late 2012, total platform net flows were positive ... |
| | | | ... it done and we will try and assist them and work with them," he said. Rowell said that APRA too would be focused on supervision and seeing how the financial services industry was meeting the new requirements. "Major reforms are completed from a policy ... |
| | | | ... AFSLs in the new regulatory environment, and taking advantage of our resourcing and expertise to help manage their supervision and compliance obligations," Financial Wisdom general manager Mark Balantyne said. The WB Group of companies will retain its ... |
| | | | ... Investments Commission (ASIC) has also deferred the implementation of section 29QB of the Superannuation Industry (Supervision) Act 1993 and the executive remuneration and systemic transparency requirements until 31 October 2013. The reprieves come after ... |
| | | | ... said superannuation and insurance providers' hands are tied by government regulations. The Superannuation Industry (Supervision) Act regulations are "extremely complicated and quite restrictive," he said. They do not allow deferred annuities; nor do ... |
| | | | ... Services Pty Ltd (CSS), and Halifax Investment Services Ltd (Halifax). In both cases ASIC singled out failures in supervision and monitoring of authorised representatives. |
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