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Showing 1 - 4 of 4 results for "Independent Compliance Expert"

RBS enters enforceable undertaking

STAFF WRITER  |  TUESDAY, 22 JUL 2014
... required to undertake certain remedial measures with respect to its trading in Reference Bank Bills. An Independent Compliance Expert will be required to review and report on RBS's compliance with the EU in respect of these remedial measures. ASIC will ...

ASIC accepts EU from forex broker over prohibited IMA

STAFF WRITER  |  TUESDAY, 25 FEB 2014
... likely to be repeated in the future." The enforceable undertaking requires Forex FS to: engage an independent compliance expert to conduct an assessment of the products and services offered by Forex FS, take appropriate remedial action as necessary following ...

ASIC accepts EU from Kilara Financial Solutions

ELISE BURGESS  |  MONDAY, 27 JUN 2011
Planning group, Kilara Financial Solutions, will take on an independent compliance expert at its own cost after having switched clients to Trio Capital super products. The Australian Securities and Investments Commission (ASIC) has accepted the Enforcable ...

ASIC forces iPlan to hire compliance expert

MATT WOODINGTON  |  THURSDAY, 9 JUN 2011
... to the use of investment platforms. Under the terms of its revised licence iPlan must appoint an independent compliance expert to review how it manages conflicts of interest. It must also undertake further communication with its clients about how it ...
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