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Showing 1001 - 1010 of 3496 results for "compliance"

Managed funds coped with COVID-19: ASIC

ELIZABETH MCARTHUR  |  FRIDAY, 30 APR 2021
... deputy chair Karen Chester said. "We will continue to monitor liquidity management by responsible entities and may take compliance or other action where we find misconduct."

OpenMarkets hires, acquires, preps for IPO

ELIZABETH MCARTHUR  |  FRIDAY, 30 APR 2021
... advice at high levels of confidence and improving client outcomes and engagement, while also increasing efficiency and compliance for the adviser. The acquisition was driven by an increasing need for affordable advice in Australia, OpenMarkets chief ...

Advisers laud Xplan software

KARREN VERGARA  |  WEDNESDAY, 28 APR 2021
... advisers, a new Investment Trends survey finds. Iress' Xplan took out the nod for its comprehensive functionality, compliance technology and ability to support advice firms of all sizes, according to the 2020 Advice Technology Benchmark Report. Morningstar's ...

Dealer group offers new fee structure

ELIZABETH MCARTHUR  |  TUESDAY, 27 APR 2021
... For advisers working part-time, variable costs including governance and research queries, along with technical and compliance support may be pro-rated according to the number of days worked. Those advisers who are taking maternity or paternity leave ...

Morningstar executive joins JANA

ANNABELLE DICKSON  |  MONDAY, 26 APR 2021
... at NAB in roles including manager of management assurance, manager of investment services and solutions and risk and compliance manager. In her new role, Cheng will be based in Sydney and will bring her expertise to JANA clients through governance and ...

ASIC opens breach reporting consultation

ANNABELLE DICKSON  |  THURSDAY, 22 APR 2021
... reforms will better position us to act decisively to disrupt misconduct and escalating harms and identify patterns of non-compliance across industry." The corporate regulator is expecting an increase in the number of reports as more entities will be ...

FSC proposes new advice model

KARREN VERGARA  |  MONDAY, 19 APR 2021
... financial advice. Instead, the code of ethics should be the primary instrument and single source of truth for determining compliance with the best interests duties. FSC chief executive Sally Loane said the aim of the proposals is to lower the cost of ...

Vanguard Super appoints board

KANIKA SOOD  |  THURSDAY, 15 APR 2021
... services law. She was also a consultant to the Cooper Review, and a member of Vanguard Investments Australia's external compliance committee. Duffield was the founding managing director and chair of Vanguard Investments in Australia - the first international ...

ClearView adds advice growth role

ANNABELLE DICKSON  |  THURSDAY, 15 APR 2021
... significantly in technology and infrastructure to support advisers to deliver high quality advice, manage mounting compliance and run more efficient practices." Mantineo added that the ongoing regulatory change and remediation programs inside institutions ...

UniSuper tops MySuper league tables

KANIKA SOOD  |  WEDNESDAY, 14 APR 2021
... the official onset of COVID-19 and its financial impact," Rainmaker Information executive director of research and compliance Alex Dunnin said. "Yet just one year on and its negative impacts are already starting to wash off as the MySuper index has again ...