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Showing 1081 - 1090 of 3496 results for "compliance"

APRA takes action against Westpac

JAMIE WILLIAMSON  |  TUESDAY, 1 DEC 2020
... risk culture, the regulator said. APRA now requires comprehensive reviews by independent third parties of Westpac's compliance with APRA's liquidity reporting requirements and the remediation of its control framework for liquidity risk management. Until ...

FASEA reveals October exam results

KARREN VERGARA  |  THURSDAY, 26 NOV 2020
... recommendations meet the client's best interests, and if the Code of Ethics was applied to advice scenarios identifying compliance and non-compliance. Some 10,460 advisers have passed the exam to date. Existing advisers have until the end of 2021 ...

ClearView streamlines underwriting

KARREN VERGARA  |  WEDNESDAY, 25 NOV 2020
ClearView Wealth has adopted Munich Re's digital platform to streamline the underwriting process and manage compliance obligations. ALLFINANZ Cloud, which was launched by Munich Re in 2019, will provide the cloud-based underwriting rules engine to speed ...

Give the people advisers: Retirement Income Review

ELIZABETH MCARTHUR  |  FRIDAY, 20 NOV 2020
... the advice sector in the wake of the Royal Commission. "In 2018, ASIC reviewed the quality of financial advice and compliance provided by vertically integrated firms and found that 75% failed to comply with the requirements associated with the best interests ...

ASX runs into trouble again

KANIKA SOOD  |  WEDNESDAY, 18 NOV 2020
... won't have to pay a fine for the potential violation of Rule 6.2.3 However, the regulator said it is checking ASX's compliance with its market licence obligations. "ASIC is concerned that there have been further issues with infrastructure at ASX and ...

Fintechs to merge

ANNABELLE DICKSON  |  WEDNESDAY, 18 NOV 2020
... shares to the existing shareholders of Comply Path. Comply Path's mission is to help businesses unlock value through compliance with its Bond platform responsible for the secure interaction of tax and super data for over 15% of Australia's working ...

Former HESTA chair joins Assemble

ELIZA BAVIN  |  TUESDAY, 17 NOV 2020
... director Kris Daff. Assemble said the board will offer strategic oversight for Assemble on its financial control and compliance as well as leadership in governance matters such as environmental, social, and governance (ESG), and maintaining culture ...

Cashwerkz director departs

ANNABELLE DICKSON  |  MONDAY, 16 NOV 2020
... significant renewal with the merger of Trustees Australia Limited and Cashwerkz Technology. He also served as a member on the compliance and risk committees throughout his tenure. Cashwerkz chair John Nantes thanked Leman for his contribution and service ...

Advice firms need technology to survive: FPA

ANNABELLE DICKSON  |  MONDAY, 16 NOV 2020
... performance of their business this year. Their greatest concerns continue to be the growing burden of administration and compliance and the rising cost of doing business," De Gori said. "Streamlining regulation is essential, so too is effective use of ...

Raiz appoints new chair

ELIZA BAVIN  |  FRIDAY, 13 NOV 2020
... significant contribution to the business through his experience of financial markets, management, product development, compliance and risk management," Lucas said. "On behalf of the board and management I would like to thank him for his board leadership ...