Search Results | Showing 491 - 500 of 1133 results for "Representatives" |
| | | ... compliance procedures. The regulator found Allied had failed to keep records of advice provided by one of its representatives, and did not adequately supervise the same representative. According to ASIC, upon review of Allied's documentation, the ... |
| | | | ... Joint Committee on Corporations and Financial Services Inquiry, following a March 27 referral from the House of Representatives. Submissions were open until May 4. MLC Life Insurance, in its submission to the PJC, said there is "strong financial motivation" ... |
| | | | ... section 912a of the Corporations Act, he added that licenced firms "must take reasonable steps to ensure that its representatives comply with financial services laws." He is seeing a gap between the statutory obligations to take reasonable steps and ... |
| | | | ... compliance schemes. ASIC has proposed that the Corporations Act be reformed to require AFS licensees and authorised representatives to provide information to all code monitoring bodies to enable effective and proactive monitoring, chiefly where a code ... |
| | | | ... intelligence with the firm's investment teams. He will also chair the newly established US Leadership Forum comprising representatives from QIC Global Real Estate, Global Infrastructure and Global Private Capital. Prior to joining QIC in October 2012 ... |
| | | | ... MySuper fund has about $23.7 billion in AUM. MLC employs about 3300 staff, and 1200 advisers act as authorised representatives of the business (proprietary and aligned). The bank already sold its life insurance business, under the MLC brand, to Nippon ... |
| | | | ... its essential purpose to be to exonerate the licensee of any liability in the event of misconduct by authorised representatives. Counsel Assisting Mark Costello questioned Dover owner Terry McMaster over the document, the intention of which reads: "Dover's ... |
| | | | ... its essential purpose to be to exonerate the licensee of any liability in the event of misconduct by authorised representatives. Counsel Assisting Mark Costello questioned Dover owner Terry McMaster over the document, the intention of which reads: "Dover's ... |
| | | | ... McMaster's testimony continued it was revealed that all of the Statements of Advice prepared by Dover's authorised representatives were, up until recently, reviewed by a law firm owned and operated by McMaster. The firm comprised McMaster and "some solicitors" ... |
| | | | ... blamed its systems and processes for failing to adequately monitor in-house financial advisers and authorised representatives. IOOF said ANZ has provided various indemnities "in favour of IOOF in relation to liability arising from a claim made by clients ... |
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