Search Results | Showing 111 - 120 of 3011 results for %22Compliance%22 |
| | | ... as the review proposes they should be "legislatively required to meet minimum qualitative standards when conducting compliance plan audits". For managed investment schemes that hold real property, the fact that they are subject to dual jurisdictions ... |
| | | | ... and 14 June 2023, almost 20,000 eToro clients lost money trading CFDs. "ASIC is disappointed by the alleged lack of compliance in this case, given eToro's market penetration and the depth of its brand awareness, both in Australia and globally," Court ... |
| | | | ... enabling them to use consistent language that their clients understand across multiple documents, which also supports compliance processes." The upgrades follow in a long line of recent developments for HUB24. In May, HUB24 agreed to buy finance app ... |
| | | | ... Manfield's experience includes stints at Janus Henderson, BlueBay Asset Management, and Schroders. He oversees risk and compliance for AustralianSuper's international offices. Mitchell, after 16 years at Macquarie Group, will offer strategic ... |
| | | | ... selection of cash investment products and provides automated price discovery, portfolio optimisation, administration, and compliance services to meet regulatory and risk management needs. It also operated the Wealth Cash Income Fund, a term deposit managed ... |
| | | | ... South Wales' Lake Macquarie, is home to about 45 financial advisers and has been operating since 2012. It added a compliance manager in January of this year, followed by a risk and compliance manager in April. "AFS licensees are responsible for ensuring ... |
| | | | ... indemnity insurance (PII). Out of 5400 decisions AFCA delivered in the 2023 financial year, there were 40 instances of non-compliance. While this is not a high portion, more worrying is that the instances are prevalent in financial advice, AFCA lead ... |
| | | | ... their cyber resilience compares to their peers. Meanwhile, APRA is assessing more than 300 of its regulated entities' compliance with CPS 234 Information Security. So far, 24% of entities have been reviewed, finding several concerning gaps including ... |
| | | | ... staff members following the hit, including former investment bank chief executive Brian Chin and former chief risk and compliance officer Lara Warner. Last October, Credit Suisse restructured and cut thousands of jobs, including former chief executive ... |
| | | | ... offerings" and strengthened capabilities through the appointment of Sybil Dixon as head of ESG product and additional compliance and product resourcing in the product disclosure and oversight teams and enhancements to the disclosure due diligence process ... |
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