Search Results | Showing 771 - 780 of 3479 results for "Compliance" |
| | | ... entitled to charge, being for financial services and advice those customers did not receive." "Additionally, Mercer's poor compliance systems led to allegedly misleading disclosure statements, which affect how customers make decisions about the financial ... |
| | | | ... clients. "I am passionate about financial advice," Shanker said. "As an ex-financial planner, I am acutely aware of the compliance and operational challenges facing the industry. I am excited about the prospect of helping simplify the investment process." ... |
| | | | ... AustralianSuper as head of internal audit. Nguyen, who has been acting in the role since Ray's departure, oversees the risk and compliance team and will manage CareSuper's relationship with regulators. Before joining CareSuper in October 2021, Nguyen ... |
| | | | ... requiring advice businesses to change too," he said. "While Logiro is largely the same business it was five years ago, the compliance burden is much greater. This deal will free me to spend more time helping my clients, which gives me the most joy and ... |
| | | | ... clients evaluate their own suitability." In addition to client suitability, other challenges cited are administration and compliance. SMSF advisers have also seen a slight decrease in the share of revenue contributed by SMSFs, down to 24% from 27% last ... |
| | | | ... notice must be given on the application if the company intends to be a retail or wholesale; retail companies must have a compliance plan and auditor before it can be registered. The report highlighted key issues that arose from the submissions received ... |
| | | | ... to the implementation of the new Life Insurance Code of Practice and ongoing independent oversight by the Life Code Compliance Committee," Briggs said. |
| | | | The Joint Associations Working Group has told the Quality of Advice Review to reduce compliance burdens and to enable the delivery of affordable, accessible advice to more consumers. In a statement, the collective of professional associations called ... |
| | | | ... welcome in due course." She added that BTC Markets' AFSL will sit alongside its ISO certification and work for SOC 2 compliance. This is BTC Markets' fourth strategic announcement in the last 12 months. It partnered with Volt Bank in September 2021 ... |
| | | | ... levers cited include greater certainty on the use of Records of Advice; clear articulation of the requirements for BID compliance; clarity on requirements for consideration of alternative strategies and products; certainty enabling shorter advice documents ... |
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