Compliance Articles

Showing 41 to 50 of 55 articles:
Chris Childs
CHRIS CHILDS  |  FRIDAY, 23 APR 2021
For the past decade, individual jurisdictions have fallen short of achieving the standardisation in trade reporting that would enable regulators to reach the level of transparency and global risk monitoring in the over-the-counter (OTC) derivatives ... Read more
Simon Betchley
SIMON BETCHLEY , JARRAD GRAY  |  FRIDAY, 26 FEB 2021
The minute the current fee-disclosure statement (FDS) and opt-in requirements became law, advisers across the country hung their heads in the knowing that this was going to add nothing to their client relationships other than an increase in costs due ... Read more
Alexa Bowditch
ALEXA BOWDITCH  |  FRIDAY, 18 SEP 2020
In times like these, can a business be confident that it will continue to comply with its obligations where it has outsourced certain functions? Read more
Angelique Aksenoff
ANGELIQUE AKSENOFF  |  FRIDAY, 11 SEP 2020
As at 30 June 2020, the Australian Financial Complaints Authority (AFCA) had received 80,546 complaints, of which 78% were closed, and $258.6 million paid in compensation. Complaint areas and associated numbers were Read more
Jon Ireland
JON IRELAND  |  FRIDAY, 10 JUL 2020
In response to recent market volatility and disruption, investment fund issuers and their boards have been reminded of their governance and conduct obligations in light of emerging liquidity risks. In addition, issuers and distributors will need to ... Read more
Luke Paterson
LUKE PATERSON , ROB MACREDIE  |  FRIDAY, 19 JUN 2020
The global response to the coronavirus (COVID-19) pandemic has resulted in many ordinary business dealings now being undertaken remotely due to social distancing protocols and border shutdowns. Read more
Gavin Stuart
GAVIN STUART  |  FRIDAY, 29 MAY 2020
People who are employees, customers and clients of many small businesses across the country have retreated into their homes for both work and self isolation. Businesses have been the subject of federal government (government) directions. Read more
Lynda Dowling
LYNDA DOWLING  |  FRIDAY, 28 FEB 2020
It may have been over 10 years since the global financial crisis (GFC) unfolded, but the regulatory and political fallout is still driving change for the financial services sector. Read more
Elizabeth McArthur
ELIZABETH MCARTHUR  |  FRIDAY, 15 NOV 2019
A debate is raging about what the Financial Adviser Standards and Ethics Authority's Code of Ethics means for ESG investing and advising clients on ethical investment options, with FASEA chief executive Stephen Glenfield forced to clarify the is ... Read more
Peter Turbach
PETER TURBACH  |  FRIDAY, 7 JUN 2019
There has been a lot of attention by the law makers and the regulators over the last few years in the advice business. Specifically in the managed accounts world, we have seen an impact from FOFA, the updated regulatory guide 179 (RG 179) and now most ... Read more