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Showing 1301 - 1310 of 3498 results for "compliance"

Calls for review of advice regulation

HARRISON WORLEY  |  THURSDAY, 6 FEB 2020
... advice." The advocacy body highlighted research it had produced which found almost 90% of accountants in practice find the compliance burden of differing legislative frameworks an issue, with less than a quarter saying they have a clear understanding ...

AMP to pay $5m for churn

JAMIE WILLIAMSON  |  WEDNESDAY, 5 FEB 2020
... clients subjected to churning are identified and remediated. It will also expect AMP to formulate a forward looking compliance plan in a bid to prevent rewriting conduct in the future and improve training and supervision of advisers. Acknowledging the ...

Industry fund risk lead resigns

JAMIE WILLIAMSON  |  WEDNESDAY, 5 FEB 2020
The chief risk and compliance officer at a $9.5 billion industry superannuation fund has resigned. Australian Catholic Superannuation and Retirement Fund has confirmed the resignation of Scott McIsaac. McIsaac was chief risk and compliance officer at ...

Dealer group restructures leadership

ELIZABETH MCARTHUR  |  TUESDAY, 4 FEB 2020
... positions have been established to lead the dealer group - general manager, operations; general manager, legal and compliance; head of compliance - policy and regulatory and head of compliance - advice assurance. The two new heads of compliance will ...

Wealth manager makes senior appointment

ALLY SELBY  |  MONDAY, 3 FEB 2020
... multiple roles, including five years as Evans & Partners CEO where he was responsible for strategy, finance, risk, compliance and operations," Evans Dixon said. "During a 22 year career in financial services Paul has managed teams across private wealth ...

Regulators should face consequences for non-compliance: FSC

HARRISON WORLEY  |  FRIDAY, 31 JAN 2020
... recommended the oversight authority commences operations at the same time the bill commences, given it will oversee compliance with the new obligations under the bill.

Wealth manager promotes from within

ALLY SELBY  |  THURSDAY, 30 JAN 2020
... advice to small-to-medium businesses across various industries. "He also leads the superannuation division, providing compliance and audit services to self-managed superannuation funds." Tom Verco will step down from the role after a 17-year tenure ...

Melbourne boutique adds to team

KANIKA SOOD  |  WEDNESDAY, 29 JAN 2020
A Melbourne bond investor has hired a head of compliance as its assets under management hit the $5 billion mark. Jamieson Coote Bonds has appointed Ivy Choo in the role. Choo will look after the boutique's compliance and risk framework and has worked ...

SMSF platform makes $25m acquisition

ALLY SELBY  |  TUESDAY, 28 JAN 2020
... acquisition, in a bid to reinforce its position as a technology leader. Class will acquire all of the shares in corporate compliance and documentation platform NowInfinity by 1 February 2020, with the transaction set to be EPS accretive in FY21. In addition ...

Technology to transform coming decades

ALLY SELBY  |  THURSDAY, 23 JAN 2020
... outcomes rather than the entity itself. "Rather than a 'one-size-fits-all' regulatory approach, where regulators focus on compliance with detailed rulebooks, they will look at the outcomes of the activities that regulated companies undertake; their role ...