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Showing 621 - 630 of 1620 results for "Review of"

One regulatory regime enough: FSC

HARRISON WORLEY  |  FRIDAY, 13 SEP 2019
... "significant" simplification of the regulatory system for tax and financial advisers. In a submission to the independent review of the Tax Practitioner's Board and Tax Agents Service Act 2009, the FSC called for one regulatory regime for advisers providing ...

Industry Fund Services adopts regtech solution

KRISTI CHENG  |  FRIDAY, 13 SEP 2019
... designed to aid licensee oversight of advice quality and audit effectiveness. Instead of a traditional, manual compliance review of only a sample of client financial planning files, an automated pre-assessment of up to 100% of files will now be possible. ...

Portfolio manager departs

KANIKA SOOD  |  FRIDAY, 6 SEP 2019
... with immediate effect and the announcement was made last Thursday. Morningstar is due to undertake its formal annual review of the fund in the coming months but has retained the analyst rating of bronze in the interim. "It is disappointing to see a tenured ...

ASIC bans financial adviser

KRISTI CHENG  |  WEDNESDAY, 28 AUG 2019
... Banned and Disqualified Persons Register. Goudie has the right to appeal to the Administrative Appeals Tribunal for a review of ASIC's decision.

ASIC clamps down on poor advice, grandfathered commissions

KARREN VERGARA  |  WEDNESDAY, 28 AUG 2019
... with direction from Federal Treasurer Josh Frydenberg. On a periodic basis, ASIC said it will undertake a quantitative review of firms that pay grandfathered commissions and test the extent they have changed such arrangements. ASIC will then take a sample ...

ASIC approves name and shame rules

KARREN VERGARA  |  TUESDAY, 27 AUG 2019
... published. This includes where naming may expose confidential information about a firm's systems or policies. ASIC's review of the internal dispute resolution policy and regulatory guidance is expected to be completed by the end of 2019.

Super debate too one dimensional: Rice Warner

HARRISON WORLEY  |  MONDAY, 26 AUG 2019
... the system's parameters and weeding out "areas of inefficiency or unfairness." However, with the government's review of the retirement income system not far away, the firm went on to say the public discourse surrounding the debate of superannuation ...

Complex retirement system requires simplicity: Report

KARREN VERGARA  |  WEDNESDAY, 21 AUG 2019
... putting forth key reforms needed to make superannuation fairer and more efficient ahead of the Federal Government's review of the retirement income system. The Actuaries Institute outlined a number of reforms needed to help fix the retirement system ...

ASIC bans adviser again

HARRISON WORLEY  |  FRIDAY, 16 AUG 2019
... three years by the corporate regulator for failing to act in the best interests of his clients. According to ASIC, a review of advice Aujla provided as an authorised representative of Infocus Securities Australia and Chaucer Group revealed he failed ...

Adviser stole $200k from SMSFs

ELIZABETH MCARTHUR  |  TUESDAY, 6 AUG 2019
... unable to satisfy the regulator that it could obtain the appropriate insurance. Michael may lodge an application for review of the ban with the Administrative Appeals Tribunal.