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Showing 1291 - 1300 of 3498 results for "compliance"

SMSF auditors in firing line

ELIZA BAVIN  |  FRIDAY, 14 FEB 2020
... the ownership and valuation of fund assets, lease agreements, whether transactions were on an arm's-length basis, and compliance with personal use and collectable asset rules. The regulator said he also issued an audit report in an incorrect form, and ...

NAB further delays offloading MLC

ELIZABETH MCARTHUR  |  THURSDAY, 13 FEB 2020
... customers were treated poorly," NAB chief executive Ross McEwan said. "Customer-related remediation programs and regulatory compliance investigations (including associated enforcement actions and class actions) are continuing, with potential for additional ...

QSuper member drags board to court, loses

KANIKA SOOD  |  WEDNESDAY, 12 FEB 2020
... applicant's evidence lacked candour, consistently with a psychiatric report which also noted a lack of candour about his compliance with prescribed anti-depressant medication," the court documents said. SCT reversed QSuper's initial decision ...

Custodial excellence recognised

HARRISON WORLEY  |  WEDNESDAY, 12 FEB 2020
... annual ACSA Awards during the Investment Operations Conference in Sydney. The association recognised HSBC regulatory compliance manager Siv Vijayanathan, and JP Morgan vice president of marketing and communications, Teri Thomas. ACSA chair David Knights ...

Product provider makes big FASEA promise

ELIZABETH MCARTHUR  |  WEDNESDAY, 12 FEB 2020
... planners at the end of the day," Marshan said. However, he cautioned that advisers should not feel insulated against any compliance issues because they have chosen a product that claims to be FASEA compliant. "What product you're using isn't a defence," ...

Problems persist with PYSP communication: ASIC

ELIZA BAVIN  |  WEDNESDAY, 12 FEB 2020
... likely to be considerably affected by the PYSP reforms. Issues identified include bare minimum messaging to simply meet compliance requirements, failure to explain the reforms, failure to highlight the impact of account proliferation, influencing of ...

Former Securitor manager joins Paragem

ALLY SELBY  |  WEDNESDAY, 12 FEB 2020
... relationship management, and will manage a professional development program for advisers. He will also be responsible for compliance coaching and running the licensee's investment committee. Paragem said Kouimanis brings a wealth of experience to the ...

Former licensee boss banned

JAMIE WILLIAMSON  |  TUESDAY, 11 FEB 2020
... for Spectrum - once home to close to 100 advisers. Surveillance identified serious concerns about the licensee's compliance with its obligations as an AFSL, failing to do all things necessary to ensure financial services provided were done so efficiently ...

Fund manager hires from Paradice

ALLY SELBY  |  TUESDAY, 11 FEB 2020
... financial services industry with focus on investment management operations, performance, client reporting, banking, compliance and investment fund administration," she said. "She has managed numerous successful teams. She is focused and ensures the job ...

IFM Investors hires from Mercer

ALLY SELBY  |  FRIDAY, 7 FEB 2020
IFM Investors have hired a former Mercer principal to help lead the firm's risk and compliance operations. Amanda Oliver commenced her role as Australian director of risk and compliance at IFM Investors on 3 February 2020. The role was previously held ...