Compliance in a volatile market

  • 11 December, 2008
  • 0
  • Print

ACI Compliance in volatile market image.JPGIn a bear market, the financial services industry, in which participants are remunerated by commissions based on volumes, may be tempted to ‘cut corners’ when it comes to compliance to achieve the same income as previously enjoyed in a bull market. But in this white paper, the Australasian Compliance Institute argues such industries should increase their spending on compliance, not the reverse. 

 
We thought you might also be interested in these stories ›
New clients to come wrapped … in red tape
New clients to come wrapped … in red tape
FSC Member-Only Professional Series: Risk and Compliance Briefing, Sydney
FSC Member-Only Professional Series: Risk and Compliance Briefing, Sydney
ATO targets illegal early release schemes in SMSFs
ATO targets illegal early release schemes in SMSFs

Comments: 0

Leave your comment

  • Filter:
  • Practice Management

    The art and science of running a profitable and efficient financial planning practice.

  • CPD

    Keep your professional knowledge up to date with articles from recognised experts.

  • Professionalism

    What it really means – and what it takes – to be a true professional.

  • Regulation

    Stay abreast of the most recent changes to regulation and the law and how the changes affect your business.

  • Technical

    Product and sector issues interpreted, analysed and explained.

  • SMSF

    Everything you need to know about providing advice and guidance to the trustees of self-managed super funds.

1111
in Government and Regulation

Government denies early FoFA debate

Legislation for the Future of Financial Advice (FoFA) will not be debated prior to the Parliamentary Joint Committee on Corporations and Financial Services ... [more]

torture
in Government and Regulation

Bernie Ripoll reveals his greatest fear

For Bernie Ripoll, chairman of the Parliamentary Joint Committee (PJC) on Corporations and Financial Services, there are no rats or snakes in his ... [more]

Pete10x10cmyk300
in Back Office

‘Opt in’: Why the fuss?

The speed with which the average Future of Financial Advice (FoFA) reform debate becomes dominated by the issue of “opt in” continues to ... [more]

C-_PP_iStock_000017143746XSmall
in Regulators

Life ban for Trio manager

ASIC has accepted an enforceable undertaking from the former operator of the ARP Growth Fund (ARP), permanently preventing him from working in the ... [more]

3582
in Hot Topic

What makes clients tick?

Developing effective relationships with clients relies on knowing what really motivates them when it comes to their financial wellbeing On February 24, Professional ... [more]

dealer-disc_web
in Back Office

Dealer discounting may lead to price war

Dealer networks are reporting an increase in planning practice enquiries as uncertainty over Future of Financial Advice (FoFA) reforms and changes to platform ... [more]

Load More