Search Results | Showing 721 - 730 of 6446 results for "Regulatory" |
| | | ... total expenses dipped by 20 basis points, with the reduction driven by benefits of management initiatives and lower regulatory expenses. Meanwhile, the listings business "remained stable", returning a revenue increase of 3.7% in annual listing fees ... |
| | | | ... because they don't profit from doing so. Furthermore, O'Neill said until recently, there'd been an "utter dearth" of any regulatory body seeking to hold funds to account, with no sanctions or consequences for failing to adhere to their statutory responsibilities ... |
| | | | ... project, we expect to release public messages about our findings. Where appropriate, we will take enforcement or other regulatory action against misconduct," ASIC said. Meantime, ASIC addressed concerns over how advisers and licensees are prepared for ... |
| | | | Financial services employees worry their jobs are being increasingly upended by artificial intelligence (AI), as an inquiry asks the government to urgently balance technological advancements and potential job displacements. The Future of Work report ... |
| | | | ... responsible entity is to support Realm with their first listed income trust offering and ensure the trust meets its regulatory and compliance obligations," Godfrey said. "We are proud to support Realm and remain dedicated to delivering excellence in ... |
| | | | ... finance, economics or accounting. They will also need to complete financial advice subjects covering ethics, legal and regulatory obligations, consumer behaviour and the financial advice process," he said. "This provides relevant core knowledge for an ... |
| | | | ... finance, economics or accounting. They will also need to complete financial advice subjects covering ethics, legal and regulatory obligations, consumer behaviour and the financial advice process," he said. They will still need to complete the Professional ... |
| | | | Former financial adviser Lachlan King has been permanently banned by ASIC for stealing close to $2 million in client funds, including family members. The banning took effect on February 5, with Queensland-based King currently in prison after being convicted ... |
| | | | ... they are, they have just huge carve outs built into them," he said. "To the extent these timeframes exist at a self-regulatory level, consumers can't put much faith in or rely on them. That's why we think the mandatory customer service standard ... |
| | | | ... ongoing resilience, reliability, integrity, and security of CHESS." "All options are being considered for ASIC's regulatory response to the incident. ASIC is engaging with the RBA and stakeholders on the impact of the incident and lessons for the ... |
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