Search Results | Showing 701 - 710 of 3495 results for "compliance" |
| | | ... products in Australia." Hughes added that this review is part of a series of initiatives ASIC is undertaking to address compliance with design and distribution obligations (DDO). "ASIC is working on targeted, risk-based surveillance and enforcement action ... |
| | | | ... portfolios, further complicates the operational structure. Leaper goes on to say that funds need systems, risk management and compliance, governance, decision-making forums, and many more delegations from the board to support these changes. They need ... |
| | | | ... clients can now prepare and electronically lodge the 2022 Company Tax Return in Simple Invest 360, streamlining their compliance workflow. "This is a fantastic achievement and another industry first for the Simple Invest 360 product team, and I am incredibly ... |
| | | | ... outcomes amongst the super industry. Yet, there is a lack of maturity in utilising governance, risk management and compliance (GRC) capabilities resulting in limitations and challenges with preparing real-time, data-enabled reporting. KPMG said integrating ... |
| | | | ... contract between insurer and consumer; that marketing material and other documents are not misleading; and continued compliance with their legal obligations, including to act efficiently, honestly and fairly. To curb these discrepancies, ASIC and APRA ... |
| | | | ... response letter, the review found 19% of the IDR policies in Stage 2 used highly complex language. Elsewhere, ASIC said compliance with the requirements related to systemic issues needs attention, while some board reports lacked sufficient detail on ... |
| | | | ... documents from a person, including a company. If a person fails to comply with such a request, ASIC can certify non-compliance and seek orders form the Court compelling production in the event the Court is satisfied that there has been non-compliance ... |
| | | | ... capacity to provide financial services. Failure to comply with reporting obligations can be an indicator of a poor compliance culture," ASIC stated. Since ASIC's surveillance, AFSL Group has applied for reinstatement of its AFCA membership. Both QFML ... |
| | | | ... said that it expects APS Savings to consider the concerns raised regarding the TMD and take immediate steps to ensure compliance. It will consider making a final order if its concerns are not addressed in a timely manner. "We would like to remind financial ... |
| | | | ... this year the FCA said it would look at the boundaries between financial advice and guidance to potentially ease the compliance burden on firms and ease costs to consumers. |
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