Search Results | Showing 441 - 450 of 2214 results for "Systems" |
| | | ... in the first nine months of the reportable situations regime, with ASIC raising concerns that licensees still lack the systems and policies to identify and address issues. ASIC has released insights from the first nine months of the reportable situations ... |
| | | | ... targets, how markets will respond to tightening measures, and the impact of fiscal policy measures on global financial systems. Ongoing geopolitical tensions also continue to pose risks to investors. "The board continues to take a prudent approach to ... |
| | | | ... misleading representations to certain customers when it represented that it had, and would continue to have, adequate systems and processes to provide them with the contractual benefits they were entitled to. The finding will result in ANZ paying an ... |
| | | | ... manipulation, which can undermine market integrity." "Dealers should have a fit-for-purpose monitoring and surveillance systems and processes to detect misconduct." Though ASIC did observe that many dealers had immature monitoring and surveillance systems ... |
| | | | ... breadth and duration of the Reported Conduct is significant and indicates that CommSec and AUSIEX did not have adequate systems and processes in place to ensure compliance with their relevant obligations under their AFSLs and pursuant to the Market Integrity ... |
| | | | ... seeing more and more firms looking internally at their core expertise, for example, the IP, the clever people, the clever systems, and the management control around that. Therefore, they're outsourcing a lot of the highly capital intensive, low value ... |
| | | | ... transformation officer Chris Weldon said. "Unravelling complexities to achieve a clean separation is no small feat. All of the systems and people supporting the P&I business and its clients have now transitioned to the Insignia Financial environment ... |
| | | | ... Challenger subsidiary also completed the move to a new registry service provider, Boardroom Group, which offers improved systems, flexibility, and online transactions. Fidante global head John Burke said customers want easy, anytime access to funds and ... |
| | | | ... position of trust, and it is essential that they ensure their actions uphold the integrity of the tax and superannuation systems," he commented. |
| | | | ... weekend, prime minister Anthony Albanese said the government's October 25 Budget will introduce reforms to improve the systems' flexibility and extend the scheme to 26 weeks. The changes are targeted at increasing women's participation in the workforce ... |
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