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Showing 491 - 500 of 545 results for "ethics"

Advisers champion responsible investing

RUTH LIEW  |  THURSDAY, 16 SEP 2010
... International, is legally required to respond to letters from investors and advisers on their concerns about company holdings and ethics. "That means even if one individual asks a question, they can have equal weight to a pension fund - and I don't think ...

FSC launches trustmark for consumers

RUTH LIEW  |  THURSDAY, 12 AUG 2010
... buying a product from a reputable provider committed to providing a quality service." Members will be subject to a Code of Ethics and Code of Conduct that prioritises ethical behavior when dealings with clients and investments, and commissions will be ...

FPA and RIAA team up for planners

COMPANY RELEASE  |  WEDNESDAY, 4 AUG 2010
... supervised work experience by 2012 and a tertiary qualification by 2015. It has also undertaken to include training in ethics in all continuing professional development initiatives for advisers, as is the current requirement for FPA members.

AFA unveils chartered fin practitioners

MEDIA RELEASE  |  MONDAY, 26 JUL 2010
... advisers had to follow a "pathway program" before they could receive the accreditation. The program includes units such as ethics and compliance in practice, client engagement and advice, understanding, applying implementing financial solutions, and ...

Coding error review prompts sell rating

MEDIA RELEASE  |  FRIDAY, 9 JUL 2010
... Barr Rosenberg, and head of research, Thomas Mead, did not act in accordance with the firm's escalation policy and code of ethics. Specifically, the external review concluded that both acted to limit dissemination of information regarding the error. ...

Rosenberg leaves AXA after review

COMPANY RELEASE  |  THURSDAY, 1 JUL 2010
... be following suit after the review found they "did not act in accordance with the firm's Escalation Policy and Code of Ethics." Specifically, the review concluded that both acted to limit dissemination of information regarding the error and to preclude ...

UK planners to face tougher standards

ALEX DUNNIN  |  THURSDAY, 1 JUL 2010
... involved with that accredited overseer being withdrawn. Ethical behaviour standards will be determined according to a Code of Ethics that is yet to be developed, though the FSA has acknowledged several professional planning bodies already have these ...

ASX companies fall short on corruption disclosure

MICHAEL HOBBS  |  WEDNESDAY, 28 APR 2010
... penalties with remuneration. "More than 80 per cent of all top 200 Australian companies disclose a policy on dealing with ethics but only four per cent tie their ethical policy to remuneration outcomes," he said. "No wonder ethical issues are not front ...

Orion tightens compliance after rogue trader caught

RUTH LIEW  |  WEDNESDAY, 7 APR 2010
... trading in general, Charles Leyland, managing director of Leyland Private Asset Management, said training, culture and good ethics remain the best preventions to the crime. "Rules are important but the ethics and the culture of the firm you work for... ...

Citi and GSJBW win ESG awards

MICHAEL HOBBS  |  TUESDAY, 9 MAR 2010
... Analysis has been voted the best ESG broking firm and Andrew Gray from Goldman Sachs JBWere was recognised for his report on ethics and culture at the ESG Research Australia Awards. Last night's awards represented the first broking awards to highlight ...