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Showing 1 - 5 of 5 results for "SEC Adviser"

CommSec and CFS combine tech strengths

JAMIE WILLIAMSON  |  MONDAY, 28 AUG 2017
Financial advisers now have a new means of managing their high-net-worth and SMSF client investments with CommSec Adviser Services and Colonial First State coming together to launch a one-stop-shop portfolio service. Targeting advisers with HNW clients ...

Colonial First State platforms make deferred annuities more accessible

JAMIE WILLIAMSON  |  WEDNESDAY, 24 MAY 2017
Advisers will soon have access to Challenger's deferred lifetime annuities through Colonial First State platforms. Speaking at an adviser event in Sydney yesterday, CFS head of retail platforms Sam Wall announced that from 1 July 2017, Challenger products ...

SEC to run ad campaign promoting online consumer adviser checks

ALEX DUNNIN  |  FRIDAY, 4 MAR 2016
... counsel for the SEC's Office of Investor Education and Advocacy told the FedScoop news service that visitors to the SEC adviser check website will be able to find background checks on investment firms. This should help them avoid dealing with people ...

SEC adviser exams could cost US$310m

ALEX DUNNIN  |  MONDAY, 8 SEP 2014
A US study has found that improved investment adviser examination requirements could cost their funds industry US$310 million. Training consultant 'RIA in a Box' released its analysis last week following sentiment that a Bill before Congress to 'user ...

SEC prioritises cybersecurity

ALEX DUNNIN  |  THURSDAY, 13 MAR 2014
... because every point of access to financial system network has to be protected. However, Jane Jarcho, chief of the SEC Adviser and Investment Company Examination Program, said the SEC won't be issuing rules-based specific requirements but principles it ...
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