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Showing 991 - 1000 of 3496 results for "compliance"

Link moves to streamline super fund advice

ELIZABETH MCARTHUR  |  THURSDAY, 27 MAY 2021
... of the Link Advice Digital Fact Find will not only improve member engagement but also improve adviser efficiency and compliance. "The combination of new and old means Digital Fact Find could be brought to market quickly and rapidly deployed, while benefitting ...

AMP sued for charging dead clients

JAMIE WILLIAMSON  |  THURSDAY, 27 MAY 2021
... matter," Cullen said. "ASIC commenced this proceeding because licenced financial services companies need to have robust compliance systems to ensure they meet their legal obligations to customers," ASIC said. "Customers, and their beneficiaries, should ...

Advisers report burnout, breaking point: Research

KARREN VERGARA  |  TUESDAY, 25 MAY 2021
... stresses of the job. An alarming number (61%) said the stress is affecting their sleep. They blamed regulatory and compliance demands as their biggest source of anxiety; 82% described this as either "highly stressful" or "very highly stressful". Out ...

ASIC cancels AFSLs

ANNABELLE DICKSON  |  TUESDAY, 25 MAY 2021
... have had their AFSLs cancelled. Direct My Wealth failed to lodge its 2020 audited financial accounts and its annual compliance certificate within 45 days of the scheduled date which are required under the AFSL and led to the cancellation of its Australian ...

Advisers filter clients via ethical lens

KARREN VERGARA  |  FRIDAY, 21 MAY 2021
... posits a business with a robust ethics culture will see less need for the regulator to enforce heavy-handed rules and compliance. Many advisers are putting ethics as a frame of reference into their business practice, making more effort to being transparent ...

Pinnacle affiliates reach $85bn AUM

KARREN VERGARA  |  THURSDAY, 20 MAY 2021
... decline in headcount compared to FY20. Pinnacle said uncertainties around regulatory reform, together with increased compliance affect productivity and profitability. There is a rise in corporate activity and industry fragmentation is hitting both advice ...

Salaries boosted by skills shortage

ELIZABETH MCARTHUR  |  THURSDAY, 20 MAY 2021
... that are proving to be the most difficult to find amongst job candidates include business/financial analysis (26%), compliance (24%), financial planning and analysis (24%), risk (22%), and internal audit (22%). With limited supply and high demand in ...

EFM appoints EQT on Aussie launch

ANNABELLE DICKSON  |  TUESDAY, 18 MAY 2021
... wish to tap into new markets, with the backing of a partner that can provide specialist local knowledge and a robust compliance and governance structure," he said.

Former Westpac chief executive in new role

KANIKA SOOD  |  TUESDAY, 11 MAY 2021
... departure from Westpac was announced in November 2019, after AUSTRAC alleged Westpac was involved in "systematic" non-compliance with the Anti Money Laundering and Counter Terrorism Act 2006 on over 23 million occasions. Westpac eventually paid a $1.3 ...

GQG Partners adds to team

ANNABELLE DICKSON  |  MONDAY, 10 MAY 2021
... expanded its Australian presence with three appointments, building out the team to eight. Alison Smith has joined as compliance officer from MLC where she was compliance manager - asset management. Prior to this, she was principal at BlackWatch Partners ...