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Showing 121 - 130 of 3499 results for "Compliance"

Just 450 advisers drop off ASIC FAR after deadline hits

MATTHEW WAI  |  FRIDAY, 16 JAN 2026
... these, less than 850 were eligible for the experienced pathway. ASIC is currently monitoring the FAR and undertaking a compliance program to determine if they remain authorised to provide personal advice to retail clients. Padua Solutions wealth data ...

State Street boosts digital asset access with new platform

MATTHEW WAI  |  FRIDAY, 16 JAN 2026
... public permissioned blockchain networks, State Street said. Investors can receive secure, scalable access and on-chain compliance controls through a seamless interface between digital and traditional services. The firm said the move supports its clients ...

Cbus hires corporate governance head

ELIZA BAVIN  |  MONDAY, 12 JAN 2026
... services and superannuation sector, joining Cbus most recently from ESSSuper where she was group executive, legal risk and compliance, and board secretary," a Cbus spokesperson confirmed to Financial Standard. Prior to ESSSuper, Tromans was the head ...

SMEs prepare for Payday Super cashflow crunch

RIDDHIMA TALWANI  |  FRIDAY, 9 JAN 2026
... urged SMEs to begin preparing for the Payday Super reforms now. He noted that while most commentary has focused on compliance, the bigger issue for many operators is the forced change to the cash-flow system that sits underneath payroll. "Quarterly super ...

FEATURE | Recruitment: Laying foundations

RIDDHIMA TALWANI  |  MONDAY, 5 JAN 2026
... faster and at greater scale. Risky business With regulators turning up the heat on super funds, hiring in risk and compliance across the board is expected to rise. The collapse of Shield Master Fund and the First Guardian Master Fund has sharpened the ...

ASIC sues BDO Audit for misleading statements

MATTHEW WAI  |  MONDAY, 5 JAN 2026
... Master Fund, which confirmed that Keystone Asset Management, the responsible entity of Shield, had complied with the compliance plan for the financial year ended 30 June 2022. However, in FY23, BDO noted that Keystone "has not provided us with access ...

Adviser of MWL, UGC banned for seven years

MATTHEW WAI  |  MONDAY, 22 DEC 2025
... licence (AFSL) after it failed to appoint a new responsible manager. It follows the banning of the responsible and compliance manager Robert John Tohill, and managing director Nicholas Maikousis in August this year. Meanwhile, ASIC also found that Van ...

RM Capital, SMSF Club to pay $925k over conflicted remuneration

RIDDHIMA TALWANI  |  FRIDAY, 19 DEC 2025
... period." "RM Capital should have provided proper oversight of SMSF Club as an authorised representative in relation to its compliance with the conflicted remuneration provisions. "Conflicted remuneration has the potential to cause consumers to be given ...

Macquarie Securities to pay $35m for misleading data reporting

RIDDHIMA TALWANI  |  FRIDAY, 19 DEC 2025
... maintenance of necessary organisational and technical resources, and didn't have adequate risk management systems to ensure compliance with its short sale reporting obligations. Macquarie said it seeks to uphold the highest standards in meeting the expectations ...

Investment managers enter 'paradox' in 2026: Deloitte

ELIZA BAVIN  |  FRIDAY, 19 DEC 2025
... and alternatives - specifically private markers - are capturing a wave of growth. At the same time, technology spend, compliance obligations and distribution complexities are pushing firms to rethink operating models. "The investment management industry ...