Search Results | Showing 941 - 950 of 3496 results for "compliance" |
| | | ... IHS Markit. OPIS will fold into Dow Jones' Professional Information Business (PIB) which includes Dow Jones Risk & Compliance, Dow Jones Newswires and Factiva. OPIS provides benchmark and reference pricing and news and analytics for the oil, natural ... |
| | | | ... Commission. ASIC commenced proceedings against RI Advice and Doyle in October 2019, seeking declarations of contravention, compliance orders and penalties. The regulator at the time alleged that Doyle gave "cookie cutter" advice and RI Advice didn't ... |
| | | | ... 2019 Report 633. ASIC noted insurers need to uplift their data capability as poor data capability creates key conduct, compliance and governance risks, which can lead to financial risk. Over 100 data gaps emerged from insurers' data gap assessments ... |
| | | | ... websites that MobiSuper used to generate leads for new members. It did not monitor the call centres used by MobiSuper for compliance, including refusing the call scripts used by them. This is not the first time Tidswell has been in hot water with the ... |
| | | | ... Financial advice is a people business helping the clients to understand the personal and financial goals... The increase in compliance burden means that they are spending less time now with their clients," Nowak said. Significant legislative reforms ... |
| | | | ... join AFCA's banking and finance unit as ombudsmen. They both join AFCA in September. BizCover head of legal, risk and compliance David Short will join AFCA's insurance team in August. AFCA has promoted three of its own as ombudsmen: Vicki Carter and ... |
| | | | ... for ease in demonstrating client best interest obligations compared to managed funds (80%) or direct equities (65%). "Compliance is the top challenge faced by financial advisers in the day-to-day running of their business, with direct implications for ... |
| | | | ... advice and be connected with packaged investment solutions," Rainmaker Information executive director of research and compliance Alex Dunnin said. "The financial adviser sector shake-out that has happened over the past few years, where the number of ... |
| | | | ... certificates to certain forms of private capital investments, while at the same time reducing some administrative and compliance obligations." Guidance was also reinstated regarding the requirements for foreign government investor tracing, and some new ... |
| | | | ... clarity on how the changes may affect commercial practices, systems and processes. "This will help industry prepare for compliance with the new regime once it commences," she said. In December 2019, ASIC said it would ban unsolicited cold calling in ... |
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