Search Results | Showing 591 - 600 of 3496 results for "compliance" |
| | | The corporate regulator has made several executive changes within its enforcement and compliance, regulation and supervision and markets group teams. ASIC's current senior executive leader, investigations Chris Rowe has been promoted to the role of ... |
| | | | ... appreciate the many benefits of the Fiducian compliant process for clients". "Fiducian expects the highest level of compliance and client service from its financial planning network. It is possible, that we may have one of the highest supervisory management ... |
| | | | ... it is difficult to apply to your own specific circumstances. Financial advisers fill that gap but rising costs and compliance have taken this option away from many people." According to ASIC estimates, some 33% of young Australians listen to finfluencers ... |
| | | | ... know that other SEC-regulated entities have committed similar violations, and so our work to enforce industry-wide compliance continues," Wadhwa said. As part of the crackdown on maintaining proper recordkeeping, the Commodity Futures Trading Commission ... |
| | | | ... within Sequoia's Licensee Services Division," the group said. Finally, Mark Hutchinson has been appointed senior compliance manager, effective August 21. He also brings more than 30 years' experience, most notably serving in ASIC's assessment ... |
| | | | ... as the review proposes they should be "legislatively required to meet minimum qualitative standards when conducting compliance plan audits". For managed investment schemes that hold real property, the fact that they are subject to dual jurisdictions ... |
| | | | ... and 14 June 2023, almost 20,000 eToro clients lost money trading CFDs. "ASIC is disappointed by the alleged lack of compliance in this case, given eToro's market penetration and the depth of its brand awareness, both in Australia and globally," Court ... |
| | | | ... enabling them to use consistent language that their clients understand across multiple documents, which also supports compliance processes." The upgrades follow in a long line of recent developments for HUB24. In May, HUB24 agreed to buy finance app ... |
| | | | ... Manfield's experience includes stints at Janus Henderson, BlueBay Asset Management, and Schroders. He oversees risk and compliance for AustralianSuper's international offices. Mitchell, after 16 years at Macquarie Group, will offer strategic ... |
| | | | ... selection of cash investment products and provides automated price discovery, portfolio optimisation, administration, and compliance services to meet regulatory and risk management needs. It also operated the Wealth Cash Income Fund, a term deposit managed ... |
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