The latest issue of Financial Standard now available as an e-newspaper
|Showing 41 - 50 of 100+ results for "Compliance"|
|... applicable. "REs should also ensure that the valuation practices in their policies are consistently reflected in their compliance plans and the policies reviewed regularly to ensure they remain adequate," the regulator said.|
|... Roar chief executive Kevin Liao said DynamicDocs is designed to help advisers run more efficient practices, manage compliance obligations and build a scalable proposition for low account balance clients. "The latest round of COVID-19 restrictions highlight ...|
|... operations, ESG/responsible investment, client services & administration, data & performance analytics, marketing, and risk & compliance. Risk and compliance continues to be a market with plenty of job opportunities. "The current risk and compliance ...|
|... known as WealthO2 in 2015. In 2016, WealthO2 launched WealthO2 MDA and WealthO2 Managed Accounts to bring automation to compliance, execution processing, broker data connectivity, rebalancing and performance analytics. WealthO2's chief distribution officer ...|
|Financial advice technology solution provider Asendium has added a risk and compliance feature via a new partnership with Fourth Line. Fourth Line will help advisers deliver risk and compliance reviews as part of their document preparation. The integration ...|
|Monochrome Asset Management has appointed Derek Vladimir Henningsen, as head of legal and compliance. He was most recently at IFM Investors as head of fund and mandate compliance. Henningsen has also worked at Bell Asset Management, the Australian Financial ...|
|... planning solutions - including financial planning software AdviserLogic, revenue management software PayLogic, its compliance and business management solutions for licensees, and risk profiling tool FinaMetrica. "Ivon brings over 20 years experience ...|
|... to ensure that NCFS complied with financial services law; its representatives also failed to abide by Millennium3's compliance manual. Further, ASIC determined they did not supervise and monitor the practice or had a proper due diligence process when ...|
|... IHS Markit. OPIS will fold into Dow Jones' Professional Information Business (PIB) which includes Dow Jones Risk & Compliance, Dow Jones Newswires and Factiva. OPIS provides benchmark and reference pricing and news and analytics for the oil, natural ...|
|... Commission. ASIC commenced proceedings against RI Advice and Doyle in October 2019, seeking declarations of contravention, compliance orders and penalties. The regulator at the time alleged that Doyle gave "cookie cutter" advice and RI Advice didn't ...|
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Natixis Investment Managers hired an institutional sales director who spent nearly a decade at First Sentier Investors.
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The newly merged LGIAsuper and Energy Super have scrapped a weekly administration fee and will retain an annual fee as a result of scale benefits.
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Fidelity International launched a climate investing policy with a rating scheme in a bid to halve its carbon emissions by 2030.
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The House of Representatives Standing Committee on Tax and Revenue has recommended that the Australian Tax Office develop a Bill of Rights' for taxpayers.
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