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Showing 781 - 790 of 2860 results for "Standards"

FASEA releases more Code of Ethics guidance

ELIZABETH MCARTHUR  |  TUESDAY, 6 OCT 2020
... provide an explanation of the application of the code. "The Code of Ethics provides an ethical framework of values and standards to assist advisers in exercising their professional judgement in the best interests of their clients," FASEA chief executive ...

ETFs undermine product comparison: Research

KARREN VERGARA  |  TUESDAY, 29 SEP 2020
... variables such as NAVs and intraday indicative value, and a standardised ETF nomenclature or taxonomy system, including standards for sustainable investing. While there has been significant innovation in the last 10 years, choice has been good for investors ...

FCA reviews regulation of foreign financial services firms

KARREN VERGARA  |  FRIDAY, 25 SEP 2020
... rules or provisions in this consultation, rather aims to hear views on how it will assess foreign firms against minimum standards when they apply for authorisation. EEA firms that have notified their intention to enter the UK's Temporary Permissions ...

Responsible lending laws to be revoked

ANNABELLE DICKSON  |  FRIDAY, 25 SEP 2020
... lending laws for banks however, authorised deposit taking institutions (ADI) will continue to comply with APRA's lending standards which comprise of a sound credit assessment and approval criteria. The government will adopt key elements of APRA's ADI ...

ASIC, IOSCO report on debt capital raisings

ALLY SELBY  |  THURSDAY, 24 SEP 2020
... arise in the key stages of debt capital raising transactions," ASIC said. "The guidance reflects an expectation of high standards of conduct by market intermediaries in the debt capital raising process." ASIC noted the practices outlined within its 668 ...

Count Financial adds member firm

ANNABELLE DICKSON  |  WEDNESDAY, 23 SEP 2020
... technology that make the financial advice delivery process efficient and effective. Their compliance and professional standards team adopts a more pragmatic approach than some other licensees out there," Small & Gunn director John Small said. "Changing ...

VFMC director nabs global role

ALLY SELBY  |  TUESDAY, 15 SEP 2020
... leadership of CFA Institute to continue its mission to lead the investment profession globally by promoting the highest standards of ethics, education and professional excellence. "I'm also humbled to assume this new role as the first board chair ...

SMSF claim over Dreamworld deaths hits snag

ELIZABETH MCARTHUR  |  TUESDAY, 15 SEP 2020
... which is being run by Whyte alleges Ardent Leisure misled investors about the safety measures and corporate governance standards in place at Dreamworld in the years preceding the incident.

Financial services laws under review

JAMIE WILLIAMSON  |  TUESDAY, 15 SEP 2020
... definitions. The second will cover regulatory design and the hierarchy of primary law provisions, regulations, class orders and standards and is due by 30 September 2022. This will examine how legislative complexity can be appropriately managed over ...

Former analyst gets three year sentence

KANIKA SOOD  |  MONDAY, 14 SEP 2020
... firm's Code of Ethics. As a result, Mr Ho immediately left the firm." "Maple-Brown Abbott seeks to uphold very high standards which are reflected in its Code of Ethics, and takes an extremely serious view of any breach of those standards. "As soon as ...