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Showing 1101 - 1110 of 3496 results for "compliance"

Boutique builds out executive team

KARREN VERGARA  |  TUESDAY, 27 OCT 2020
... Andrew joined as the chief of strategy and digital innovation, while Lisa Norton was named head of legal, risk and compliance, joining from Pepa Consulting and JBWere. Rebecca Mete was hired as client services manager in October. The firm is backed by ...

DDO top of ASIC's agenda

ELIZA BAVIN  |  TUESDAY, 27 OCT 2020
... to consider whether changes are required to the design of their products and how they are being sold. "ASIC expects compliance with DDO from day one. Not in a 'tick-a-box' way, but compliance in a way that meaningfully improves outcomes for consumers," ...

QInsure ramps up claims technology

KARREN VERGARA  |  THURSDAY, 22 OCT 2020
... Dublin-based firm's platform. The insurance claims management software provides straight-through processing and compliance checks for 50 organisations globally. QInsure went live with FINEOS Claims in September 2019, which integrated and automated ...

Centrepoint hires recruitment lead

KARREN VERGARA  |  WEDNESDAY, 21 OCT 2020
... choice for their needs. Centrepoint has about 320 advisers under its own licensees and offers its services, such as compliance, business management and technical support, to over 160 self-licensed practices.

Cost of advice soars as red tape grows

ELIZA BAVIN  |  WEDNESDAY, 21 OCT 2020
... significant," De Gori said. "The cost of professional indemnity insurance has skyrocketed in recent years and regulatory and compliance costs continue to rise." De Gori said multiple inquiries have bound the profession in red tape and added layers of ...

Societe Generale fined over client breaches

ANNABELLE DICKSON  |  WEDNESDAY, 21 OCT 2020
... money to provide certainty and transparency for clients and licensees. Breaches of these requirements are a serious compliance failure," she said.

The case for an overhaul of advice: Rice Warner, FSC

ANNABELLE DICKSON  |  TUESDAY, 20 OCT 2020
... people who receive advice are generally happier. The proposal for simple personal advice would be cheaper and less of a compliance burden with a review able to be done without needing a comprehensive analysis "The aim is to build a new model for financial ...

APRA advises funds to review ownership structures

ELIZA BAVIN  |  FRIDAY, 16 OCT 2020
... also included other examples of the persons that should be the subject of an approval application. It said ensuring compliance with the controlling stake requirements is important, as a failure to obtain APRA's approval before owning a controlling stake ...

A new model is coming: Licensees

ELIZABETH MCARTHUR  |  THURSDAY, 15 OCT 2020
... wished more of licensee's investment could go towards "making advice more creative" but instead it has to be focussed on compliance. Whereat said that the shift in terms of institutional alignment that the industry has experienced in recent years, and ...

Westpac puts Australia on bad banking leaderboard

ELIZA BAVIN  |  WEDNESDAY, 14 OCT 2020
... now seek authorisation from the government for any major acquisitions. Deutsche Bank agreed to pay US$150 million for compliance failures in connection to the banks relationship with convicted pedophile Jeffrey Epstein. Canada's Scotiabank reached ...