Search Results | Showing 531 - 540 of 3481 results for "Compliance" |
| | | ... "The MDP considered Instinet was negligent as it should have had procedures in place to prevent or detect possible non-compliance with the Rules applicable to crossing systems," the MDP said. Finally, Instinet was considered to have failed to update ... |
| | | | ... business models, and product portfolios of various online trading providers to evaluate potential risks and verify their compliance with financial services legislation. |
| | | | ... chief delivery and information officer, overseeing member operations, technology, and the execution of strategic and compliance initiatives. Leibel has also held senior executive roles with PwC and Telstra. "I am delighted to welcome Kathleen and Anna ... |
| | | | ... were no adverse financial impacts to fund investors. We take our commitment to investor transparency and regulatory compliance seriously, and our systems and processes were enhanced and updated after we discovered the errors." Several organisations such ... |
| | | | ... citing concerns the existing moratorium is ineffective, negatively impacting medical research efforts, and a lack of compliance from insurers. The government's consultation paper, Use of genetic testing results in life insurance underwriting, is aimed ... |
| | | | ... disclosure statements sent to customers were timely and accurate. "ASIC expects businesses to invest properly in their compliance systems. As today's outcome shows, if they fail to do so, they face significant penalties." Mercer has previously paid about ... |
| | | | Perth Mint has entered an enforceable undertaking (EU) with AUSTRAC to improve compliance with Australia's anti-money laundering and counter-terrorism financing (AML/CTF) laws. In August, the financial crimes regulator ordered the appointment of ... |
| | | | ... however, showed that their responsibilities extend beyond SoAs and has evolved more into product research, modelling, compliance and project work, software configuration, and client reviews. "A common belief is that even if legislation doesn't mandate ... |
| | | | ... that Kraken made a business decision to reap hundreds of millions of dollars from investors rather than coming into compliance with the securities laws. That decision resulted in a business model rife with conflicts of interest that placed investors' ... |
| | | | ... practices, we are giving precious time back to advisers to focus on their clients by increasing efficiencies, improving compliance and streamlining day-to-day processes," Power said. Elemnta chief executive Shaun Green said during the pilot stage, advisers ... |
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