The latest issue of Financial Standard now available as an e-newspaper
|Showing 51 - 60 of 100+ results for "Compliance"|
|... for ease in demonstrating client best interest obligations compared to managed funds (80%) or direct equities (65%). "Compliance is the top challenge faced by financial advisers in the day-to-day running of their business, with direct implications for ...|
|... advice and be connected with packaged investment solutions," Rainmaker Information executive director of research and compliance Alex Dunnin said. "The financial adviser sector shake-out that has happened over the past few years, where the number of ...|
|... certificates to certain forms of private capital investments, while at the same time reducing some administrative and compliance obligations." Guidance was also reinstated regarding the requirements for foreign government investor tracing, and some new ...|
|... clarity on how the changes may affect commercial practices, systems and processes. "This will help industry prepare for compliance with the new regime once it commences," she said. In December 2019, ASIC said it would ban unsolicited cold calling in ...|
|... example," he said. "When we come across a grey area related to ESG issues or alignment with the SDGs the Sustainable Compliance Committee assesses the matter and determines whether Alphinity can support the company's activities. "The committee includes ...|
|... The next 12 months will determine whether the act is driving concrete action and continuous effective "box-ticking compliance exercise". "Investors and other stakeholders have a key role to play in engaging with ASX200 companies to ensure statements ...|
|... representatives comply with financial services laws or credit legislation," the regulator said. A civil penalty applies for non-compliance. ASIC can also take administrative action if parties do not comply with the new protocol, which could include suspending ...|
|... under this threshold will not have to submit accountability maps and statement to APRA and ASIC under the enhanced compliance thresholds. "The Financial Accountability Regime imposes a strengthened responsibility and accountability framework within financial ...|
|... delivering financial advice in a cost effective and efficient manner. "Padua's technology dramatically reduces the cost of compliance for advisers and runs unopposed in the market. I am excited about the opportunity for Padua and I look forward to overseeing ...|
|Lifespan Financial Planning has hired a risk and compliance lead who was previously a financial adviser for the firm. Adrian Caspar joins the Sydney office with 15 years' experience in compliance, risk management, financial advice and governance. Caspar ...|
Intensifying its commitment to the Asia Pacific region, State Street has appointed a long serving J.P. Morgan executive as its first country head for Australia.
Former Spectrum Wealth Advisers chief executive Mark Schroeder has been slapped with banning orders in addition to his six-year ban from providing financial services.
New analysis from Rainmaker Information shows about 60% of all MySuper products reduced their fees last financial year, with the average fees paid by members now sitting at 1%.
Octopus Investments, an energy asset manager, has made several appointments after recently surpassing $1 billion in assets under management.
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