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Showing 941 - 950 of 1796 results for "Monitor"

Regulator finalises ANZ compliance review

ALEX BURKE  |  FRIDAY, 23 DEC 2016
... compensation of around $4.5 million. At the time, ASIC deputy chair Peter Kell said: "Appropriate compliance and systems to monitor compliance are essential for banks to adhere to their AFS obligations. This is important in maintaining customer trust ...

Robo-advice needs monitoring: IOSCO

JAMIE WILLIAMSON  |  THURSDAY, 22 DEC 2016
ASIC and other international regulators are coming to grips with the difficulties of monitoring robo-advice solutions and tools. The latest International Organisation of Securities Commission (IOSCO) report on its Automated Advice Tools Survey finds ...

Two of the big four in ASIC spotlight

ALEX BURKE  |  THURSDAY, 22 DEC 2016
ASIC accepted enforceable undertakings from National Australia Bank and Commonwealth Bank of Australia following an investigation by the corporate regulator. The undertakings relate to the banks' wholesale spot foreign exchange businesses. ASIC determined ...

Landmark ESG recommendations for Australia

DARREN SNYDER  |  TUESDAY, 20 DEC 2016
... suggests the ASX should continue to enhance corporate reporting and disclosure requirements and guidance - and ASIC should monitor the quality of corporate reporting and disclosure. The final recommendation says trustee boards should ensure capacity ...

New product simplifies APRA reporting

JAMIE WILLIAMSON  |  MONDAY, 12 DEC 2016
... standards and guidelines. With the new Tenable APRA dashboards, organisations benefit from increased automation to manage and monitor compliance with the APRA IT security guidelines," Jackson said. "This not only provides support for the auditing process ...

NAS debuts carbon reporting service

ALEX BURKE  |  THURSDAY, 8 DEC 2016
NAB Asset Servicing is introducing a carbon reporting tool as risk awareness becomes an increasing priority for its clients. The Carbon Report is customisable for each client and gives details in to the "carbon intensity" of investments at a fund or ...

Carwardine to undergo external advice review

KERRIE SYDEE  |  WEDNESDAY, 7 DEC 2016
Carwardine Financial Services will undergo an independent external review of its compliance after ASIC surveillance identified a number of concerns. ASIC's surveillance concluded in September 2016 and identified a number of issues with Carwardine's ...

Tail wags the dog in ESG regulation: PRI

ALEX BURKE  |  TUESDAY, 6 DEC 2016
The current structure of global capital markets is taken as a given by many regulators, who in turn aren't exerting enough influence on corporate environmental, social and governance policies, according to a new Principles for Responsible Investment ...

Out-dated websites flag regulatory risk

KERRIE SYDEE  |  MONDAY, 5 DEC 2016
... adviser and client portals. "Our solution is like a bulk maintenance system and a platform solution that allows the AFSLs to monitor and audit to make sure their websites are compliant," Liao said. "We're starting to get a lot of interest from independent ...

Economic Wrap

BENJAMIN ONG  |  THURSDAY, 1 DEC 2016
Australia private sector credit Total private sector increased by 0.5% in the month of October, better than market expectations for a 0.4% rise and followed gains of 0.4% in each of the previous three months. October's monthly gain were driven by the ...