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Showing 721 - 730 of 3481 results for "Compliance"

Cboe Global Markets, SBI Holdings sign MoU

ANDREW MCKEAN  |  TUESDAY, 25 OCT 2022
... assets through Cboe Digital, a market and clearinghouse based on the exchange principles of transparency and regulatory compliance, supported by a network of intermediaries, providing client-driven solutions that help institutions fully embrace this ...

Westlawn Financial Services cops stop orders

CHLOE WALKER  |  MONDAY, 24 OCT 2022
... market," it said. "ASIC expects Westlawn to consider the concerns raised about the TMD and take immediate steps to ensure compliance." The corporate regulator said it will consider making a final order if its concerns are not addressed in a timely manner. ...

TPB, bans dishonest tax agents

CASSANDRA BALDINI  |  TUESDAY, 18 OCT 2022
... audit is a critical integrity check to ensure the validity and accuracy of an SMSF's financial statements and its compliance with superannuation legislation and regulations," he said. "The TPB decisions follow referral of intelligence from ATO compliance ...

ASIC issues stop orders on Holon funds

CASSANDRA BALDINI  |  MONDAY, 17 OCT 2022
... cryptocurrency market. ASIC expects Holon to consider the concerns raised about the TMDs and take immediate steps to ensure compliance. It said if concerns are not addressed in a timely manner, final stop orders will be placed on the funds, and it could ...

BGL automates crypto trading

CASSANDRA BALDINI  |  TUESDAY, 4 OCT 2022
... the BGL ecosystem. "With the SMSF industry seeing a 90% increase in crypto trading activity during 2021, building out compliance and reporting for SMSFs has been a key focus for the company," he explained. "The integration between our platform and BGL ...

Mirova names deputy chief executive

CHLOE WALKER  |  TUESDAY, 4 OCT 2022
... Paris-based Abel will oversee the global functions of development, sustainability research, finance, risk, legal and compliance and operations of 60 employees. He will report directly to chief executive Philippe Zaouati. Previously, Abel was head of ...

ASIC issues stop order on third property fund

CASSANDRA BALDINI  |  FRIDAY, 30 SEP 2022
... said. ASIC further explained that APIL should consider concerns raised about the TMD and take immediate steps to ensure compliance. "If ASIC's concerns are not addressed in a timely manner, a final stop order will be placed on the fund," it warned. ASIC ...

FPA calls for sunset on experience pathway

JAMIE WILLIAMSON  |  WEDNESDAY, 28 SEP 2022
... providing an exemption at this point, given the 43% drop in authorised financial planners to date and post the exam compliance cut off, will fail to attract exited financial advisers back, nor will it remove the regulatory burden, duplication and inefficiencies ...

No surprise advice industry fears ASIC: Panel

CASSANDRA BALDINI  |  FRIDAY, 23 SEP 2022
... considered when reviewing the pursuit of enforcement outcomes. "We're looking at the seriousness of the conduct and the compliance history of the individual or the entity involved. We look at the consumer aspects of their detriment, there's a whole ...

Burgeoning challenges of the advice industry: Padua

ANDREW MCKEAN  |  THURSDAY, 22 SEP 2022
... and software solutions are able to assist that. Moving from a technical focus to a quality focus, moving from being compliance orientated, to a strategic orientation where we're focusing on the possibilities available to clients," Esler said. The industry ...