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Showing 561 - 570 of 866 results for "Code"

Two of the big four in ASIC spotlight

ALEX BURKE  |  THURSDAY, 22 DEC 2016
... when they may not otherwise have been traded; and disclosed details of pending client orders to external third parties using code names. ASIC's undertakings mean both NAB and CBA will make changes to their respective systems, controls, monitoring and ...

Insurance in super must be maintained: AIA

JAMIE WILLIAMSON  |  WEDNESDAY, 21 DEC 2016
... reform framework and implementation strategy to ensure group insurance remains available to all Australians, including a Code of Practice to heighten super fund and RSE licensee responsibilities. ISWG will release discussion papers on strategies to improve ...

Landmark ESG recommendations for Australia

DARREN SNYDER  |  TUESDAY, 20 DEC 2016
... expectations, including engaging companies on ESG issues. This would be formalised through the development of a stewardship code and be industry-led. Australian asset owners should also incorporate stewardship expectations in the selection, appointment ...

Super disputes kept aside in Treasury review

DARREN SNYDER  |  WEDNESDAY, 7 DEC 2016
... nature of the SCT towards an industry-based ombudsman scheme. "Also of note is the recommendation that the industry develop a Code of Practice for superannuation, augmenting the code of practice being developed for group insurance in superannuation," ...

Tail wags the dog in ESG regulation: PRI

ALEX BURKE  |  TUESDAY, 6 DEC 2016
The current structure of global capital markets is taken as a given by many regulators, who in turn aren't exerting enough influence on corporate environmental, social and governance policies, according to a new Principles for Responsible Investment ...

Stockbrokers Association opens doors to advisers

KERRIE SYDEE  |  TUESDAY, 29 NOV 2016
... will "better reflect the changing nature of stockbroking in Australia" and will also "pave the way" for SAFA to become a code monitoring body under the new professional standards regime. "The new name recognises that some of our members no longer identify ...

Long way to go on professional standards: FPA

JAMIE WILLIAMSON  |  MONDAY, 28 NOV 2016
... criteria for minimum CPD. We still have a long way to go," De Gori said. De Gori said that this, on top of the shaping of the code of ethics, is going to occupy the majority of the next 12 to 24 months. "The actual implementation of the Bill is going ...

ASIC gives green light to FPA fees code

JAMIE WILLIAMSON  |  THURSDAY, 24 NOV 2016
ASIC has approved the Financial Planning Association of Australia's Professional Ongoing Fees Code. Announced by FPA chief executive Dante De Gori to over 1000 delegates at the opening of the 2016 FPA Professionals Congress, it is the first code to ...

Professional Standards legislation hits parliament

KERRIE SYDEE  |  WEDNESDAY, 23 NOV 2016
... includes compulsory education requirements for new and existing advisers; supervision requirements for new advisers; an industry code of ethics; an exam to create a common benchmark across the industry and an ongoing professional development component. ...

ASIC employee faces court

KERRIE SYDEE  |  FRIDAY, 11 NOV 2016
... Police. Mahmoud Daher was charged with unauthorised access to restricted data contrary to subsection 478.1(1) of the Criminal Code Act 1995 and making a false document contrary to section 138(1) of the Anti-Money Laundering and Counter Terrorism Financing ...