Search Results | Showing 871 - 880 of 3496 results for "compliance" |
| | | ... 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 ... |
| | | | ... ownership over its AML platform. Napier's solutions are designed to provide a holistic view of each customer so that compliance teams, with AI-assistance, should be more easily identify any activity that falls outside of typical customer behaviours and ... |
| | | | ... the regulatory requirements." "We expect this guidance will provide regulatory certainty to industry and help reduce compliance costs. It will assist financial advisers in their efforts to make these forms of advice more available to consumers and assist ... |
| | | | ... occasion it was 'only' $80 million lifted from consumers," Johnston said. "Meanwhile [if] an adviser gets their compliance wrong they are publicly humiliated, banned and commercially destroyed." In an unprecedented move, ASIC commenced six civil ... |
| | | | ... nominating committees. Grady has been a director of both since May 2011 and is a member of the board governance and compliance committee, board nominating committee, board remuneration committee and board risk committee. "It has been a memorable eleven ... |
| | | | In an unprecedented move, ASIC has commenced six civil penalty proceedings against Westpac for widespread compliance failures in its banking, wealth, superannuation and general insurance businesses. The six matters filed relate to charging fees to deceased ... |
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