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Showing 391 - 400 of 557 results for "Supervision"

Anne Street SMSF advice falls under ASIC radar

LAURA MILLAN  |  THURSDAY, 5 SEP 2013
... 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 ...

APRA to focus on reinsurers

LAURA MILLAN  |  MONDAY, 26 AUG 2013
... including general management, advising on market strategies, developing corporate and computer systems, training and supervision of sales staff and financial control functions.

IOOF remains confident after reporting growth

LAURA MILLAN  |  FRIDAY, 23 AUG 2013
... 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 ...

Regulator taking a "facilitative" approach to change

ALICE URIBE  |  THURSDAY, 1 AUG 2013
... 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 ...

WB advisers join CBA's Financial Wisdom

LAURA MILLAN  |  MONDAY, 15 JUL 2013
... 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 ...

Last-minute Stronger Super reprieve averts "ludicrous situation"

JAMES FERNYHOUGH  |  THURSDAY, 4 JUL 2013
... 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 ...

Retirees could benefit from a vibrant annuities market

JAMES FERNYHOUGH  |  FRIDAY, 24 MAY 2013
... 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 ...

ASIC warns planners, be careful who you hire

JAMES FERNYHOUGH  |  TUESDAY, 7 MAY 2013
... Services Pty Ltd (CSS), and Halifax Investment Services Ltd (Halifax). In both cases ASIC singled out failures in supervision and monitoring of authorised representatives.

Halifax to fix deficiencies after ASIC review

ALICE URIBE  |  FRIDAY, 5 APR 2013
... management and compliance. There were licence compliance issues with its financial services practices including the supervision and monitoring of representatives, oversight of training and professional standards of representatives and breaches in reporting ...

Securities dealer scales back after ASIC review

LAURA MILLAN  |  THURSDAY, 4 APR 2013
... including providing services outside those authorised under the license, breaching assessment and reporting processes and supervision and monitoring of authorised representatives. As a result of the review, CSS volunteered to wind back its operations ...