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Showing 1 - 10 of 24 results for "Compliance Report"

ASIC suspends RE licence

KARREN VERGARA  |  MONDAY, 8 FEB 2021
The corporate regulator has suspended the AFSL of a responsible entity that oversees a property and mortgage fund for breaching several compliance and reporting obligations. The licence of Queensland-based financial services provider Investors Exchange ...

Evergreen launches stress testing tool

ELIZA BAVIN  |  MONDAY, 8 FEB 2021
Evergreen Consultants has launched a portfolio stress-testing tool within GreenVUE, Evergreen's proprietary portfolio analytics system. GreenVUE will allow financial advisers to visualise their investment portfolio's risk and return characteristics ...

NAB Asset Servicing signs up to Charles River

KANIKA SOOD  |  WEDNESDAY, 11 NOV 2020
NAB Asset Servicing has signed up to State-Street-owned Charles River Development for compliance monitoring, oversight and reporting. NAS will use Charles River Investment Management Solution (IMS) to help institutional clients monitor a broad range ...

Life insurers are doing their best: FSC

ELIZABETH MCARTHUR  |  THURSDAY, 12 MAR 2020
... those, 13% were found to be unfounded. "This report is also silent on the LCCC's own findings from their latest compliance report, which shows in the year to 30 June 2018, life insurers assessed 131, 271 claims," the FSC said. "Of these, 89% of income ...

CBA, ASIC move to resolve AFSL conditions

KANIKA SOOD  |  WEDNESDAY, 10 APR 2019
ASIC has released the final compliance report on the conditions it placed on Commonwealth Financial Planning and Financial Wisdom in 2014. Commonwealth Bank has paid a further $2.3 million to 232 clients advised by five of its advisers, according to ...

Decimal expands superannuation network

KARREN VERGARA  |  FRIDAY, 28 APR 2017
ASX-listed Decimal Software has partnered with management consultancy firm Sequential to provide robo-advice solutions to superannuation fund clients. Under the memorandum of understanding, Decimal's Eqilize solution will offer superannuation providers ...

New product simplifies APRA reporting

JAMIE WILLIAMSON  |  MONDAY, 12 DEC 2016
A global technology firm is providing an automated compliance reporting solution for financial services organisations in accordance with APRA security guidelines. Tenable Network Security has developed the solution which will assist management, security ...

Industry super fund selects J.P. Morgan for custody

MARK SMITH  |  TUESDAY, 23 AUG 2016
J.P. Morgan has been appointed to provide custody and fund services by a $2.2 billion industry super fund. Club Plus Super selected the company following a competitive tender process. As its securities services provider, J.P. Morgan will deliver custody ...

InvestmentLink developing real-time compliance product

KERRIE SYDEE  |  MONDAY, 9 MAY 2016
InvestmentLink has announced the development of a real-time compliance product that will provide financial advisers and dealer groups with immediate and ongoing compliance reporting. The product, Halcyon, will use InvestmentLink's data platform as well ...

More CBA-aligned advisers under scrutiny

DARREN SNYDER  |  THURSDAY, 17 DEC 2015
... process overseen by KordaMentha Forensic," an ASIC statement said. KordaMentha Forensic's third report, the Compliance Report, is expected in 2016 and is auditing whether CFPL and FWL have complied with their additional AFS licence conditions, including ...
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