Search Results | Showing 851 - 860 of 3481 results for "Compliance" |
| | | Investment consulting firm JANA appointed a legal expert to lead its risk and compliance division. Lindy Hunt was hired as head of legal, risk and compliance last December, joining from Club Plus Super where she spent the last seven years of her career. ... |
| | | | A trading platform has copped a fine of $110,250 for breaching enquiry rules and compliance obligations. BGC Partners breached the ASX 24's trading rules on two occasions on 22 March 2019, according to the Markets Disciplinary Panel, by transacting ... |
| | | | ... advisers' perspective, this specialist expertise will significantly enhance the advice they can provide in relation to SMSF compliance, preparing deeds of ratification/rectification, estate planning and other death benefit issues." He added that ... |
| | | | ... the basis of his advice," a statement released on Monday read. "ASIC considered these failures showed a disregard of compliance obligations and an absence of the competence required to provide one or more financial services." In some cases, Betalli's ... |
| | | | ... advice more affordable. Hume said the review will aim to identify opportunities to streamline and simplify regulatory compliance obligations to reduce cost and remove duplication, recognising that costs of compliance for financial advice businesses are ... |
| | | | ... Superannuation Fund (VISSF). At the time, VISSF chair Peter Sharples said increasing regulatory reform and rising costs of compliance was having an impact, with the fund recognising the benefits scale could provide to members. The two ultimately determined ... |
| | | | ... refund clients that had been overcharged fees. The ASIC statement says it found Allen was involved in Cummings' non-compliance with the requirement to provide SoAs. Allen had also audited his own files, engaged in misleading and deceptive conduct in ... |
| | | | ... this role he will oversee finance strategy and projects, management accounting, statutory reporting, finance systems, compliance advisory, industry funding, financial operations and unclaimed monies. Meanwhile, Nicole Collins has been appointed chief ... |
| | | | ... Portfolio System, which constructs, reviews and analyses client portfolios. The solution also enables Optar to automate its compliance processes and improve connectivity with brokers. Founded in 2015, the fund manager has two funds invested in Australian ... |
| | | | ... out above all else. Coming as no surprise to those in the industry, the issue advice firms are grappling with most is compliance. The local survey was part of a global study of advice firms by Dimensional which covered more than 800 participants in North ... |
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