Search Results | Showing 941 - 950 of 3481 results for "Compliance" |
| | | Lifespan Financial Planning has hired a risk and compliance lead who was previously a financial adviser for the firm. Adrian Caspar joins the Sydney office with 15 years' experience in compliance, risk management, financial advice and governance. Caspar ... |
| | | | ... investment earnings in the past 12 months, or almost $39,000 each," Rainmaker Information executive director of research and compliance Alex Dunnin said. "This is three-times the amount of all the money everyone contributed into their superannuation ... |
| | | | ... much easier for product issuers, platforms and financial advisers who would otherwise face confusing and inconsistent compliance requirements. Without this alignment, advisers in particular will be faced with having to comply with dozens of different ... |
| | | | ... "Naturally, as a financial planning business owner you expect your licensee to be adequately resourced to meet ongoing compliance and business hygiene needs." FYG Planners general manager Andrew Wootton said it was great to see an adviser striking out ... |
| | | | ... has worked in the SMSF industry for 15 years. He has experience across sales, marketing, customer service, risk and compliance. Christensen also ran the SuperConcepts YourSMSF administration business for two years. AMP Australia's director, platforms ... |
| | | | ... intend to in the future. This is because there is no demand, consumers prefer a human adviser and there are too many compliance concerns. As for its next steps, ASIC said it has "identified a number of initiatives that may assist industry participants ... |
| | | | ... and advisers. CFS is currently recruiting for a newly created CFS group chief risk officer position to bring risk and compliance expertise as it separates from CBA. Coombe said the appointments will strengthen capability and capacity as the business ... |
| | | | ... NSW/ACT/QLD, having been in the role since 2012. She is responsible for overseeing all aspects of the union's financial, risk, compliance, procurement, human resources, information technology, membership administration and corporate service functions. ... |
| | | | ... between $5 million and $100 million in investable funds. The family office service will include corporate advisory, compliance, business planning and bespoke project management. Sequoia acquired Macro Investment Advisory's client book as part of its ... |
| | | | ... that govern the brokerage industry, rules which are designed to protect investors and the integrity of our markets. Compliance with these rules is not optional and cannot be sacrificed for the sake of innovation or a willingness to 'break things' ... |
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