The latest issue of Financial Standard now available as an e-newspaper
|Showing 71 - 80 of 100+ results for "Compliance"|
|... independent expert to assess and test the adequacy and effectiveness of its controls, systems and processes to ensure compliance with the client money requirements of the Corporations Act 2001. According to ASIC, Societe Generale successfully fulfilled ...|
|... TPB still has the responsibility for the Corporate Authorised Representative (CARs) and AFSL registrations, meaning compliance with TPB regulations is still required. "The current drafting does not meet the government's intention of creating a single ...|
|... funds domiciled in the United States, Cayman Islands and other offshore financial centres. It will also ensure ongoing compliance with regulatory obligations including anti-money laundering and tax transparency, the firm said. It says the Cayman Islands ...|
|... subsidiaries including JBWere. The financial intelligence agency is investigating NAB's "potential serious and ongoing non-compliance" with respect to customer identification procedures, ongoing customer due diligence, and its ability to comply with ...|
|... officer. Marlene Timberlake D'Adamo has been appointed to the role effective immediately. She was previously chief compliance officer, a role the pension fund is actively recruiting for. Timberlake D'Adamo will be responsible for fostering a culture ...|
|... FRAA's inaugural tasks will be to assist newly appointed ASIC chair Joseph Longo in ensuring the corporate regulator's compliance with the Government's Statement of Expectation. Taking to Twitter, Senator Andrew Bragg said the FRAA's oversight of the ...|
|... contravened Rule 2.2.8 of the ASIC Market Integrity Rules (Futures Markets) 2017, whereby a market participant ensures compliance with market integrity rules and the Corporations Act. The MDP found that Life Trading did not have appropriate supervisory ...|
|... and Investor Directed Portfolio Service operators in meeting their obligations. She boasts a long career in risk and compliance roles, including as head of CIO governance at ANZ and head of compliance for BlackRock Australia. Replacing Cowan at ClearView ...|
|... morning, ASIC representative Christopher Archibald QC recalled the bank's "prolonged under-investment" in its systems, compliance and controls as first exposed by the financial services Royal Commission, which enabled customers to be charged millions ...|
|... its responsibility to clients, employees and the broader market very seriously, operating within a strict legal and compliance framework designed to maintain the highest level of integrity and standards." Last year, Regal's Atlantic Absolute Return suffered ...|
Australian Ethical introduced a new high conviction fund to wholesale clients, investing in a range of sectors including local healthcare, renewables and technology stocks within the S&P ASX 300.
The super industry is calling for mandated consistency on portfolio holdings disclosure after it was recommended the Future Fund be exempt from disclosing commercially sensitive information.
Capstone Financial Planning has revoked the authorisation of Mark Babbage, the Victorian financial adviser jailed for breaching Western Australia's strict border restrictions to attend the AFL Grand Final.
Ellerston Capital will terminate the Morphic Global Opportunities Fund later this month as a result of dwindling funds under management.
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