Search Results | Showing 781 - 790 of 1792 results for "Monitor" |
| | | ... executive Dante De Gori said there is no doubt that SMSF advice will now be a significant focus of those bodies selected to monitor compliance with FASEA's code of ethics for advisers, once they are approved. "This is a growing sector and good advice ... |
| | | | Creating a best-in-show list of default superannuation funds shouldn't overlook specific needs of members, particularly when it comes to life insurance, according to Cbus. The industry super fund told the Productivity Commission yesterday that while ... |
| | | | MyFiduciary is partnering with a fintech to roll out a digital monitoring and compliance tool. Entering a strategic partnership with JHC Systems, MyFiduciary is equipping firms with JHC Neon; a digital risk, monitoring and analytics dashboard. JHC said ... |
| | | | Advice licensees considering onboarding ex-Dover Financial Advisers' authorised representatives have been warned to ramp up due diligence processes by the corporate regulator. As the fallout from Dover's shock closure continues, ASIC has reinforced ... |
| | | | ... and not only the letter - of all relevant laws and regulations, the AFA highlighted instance where this is difficult to monitor. While it supports this standard in principle, the practical reality, it said, is the advice industry has evolved in recent ... |
| | | | Commonwealth Bank will pay $700 million to resolve civil proceedings brought against it by AUSTRAC for contravening anti-money laundering and counter-terrorism laws - almost double what it anticipated. CBA has announced it reached an agreement with ... |
| | | | Liquidnet's acquisition of equity analytics firm OTAS Technologies is beginning to bear fruit for Australian institutional traders and investment offices, particularly following MiFID II implementation. About 12 months into the partnership, the ... |
| | | | ... pointing out that contracts should contain clear and measurable performance indicators, which the RSE licensee should monitor regularly. Additionally, the regulator wants to see licensees consider and document how the use of related parties is in the ... |
| | | | The Federal Court ruled Westpac's conduct in handling bank bill swap rates was "unconscionable" on four of the 16 occasions that ASIC alleged the bank manipulated the BBSW. While ASIC failed to prove Westpac traders had manipulated the BBSW, the bank ... |
| | | | ... Engage with companies either directly, indirectly (for example, via collective action or third-party providers) or both. Monitor asset managers' stewardship activities. Encourage better alignment of the operation of the financial system and regulatory ... |
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