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Showing 121 - 130 of 3468 results for "Compliance"

FX coaching platform handed additional conditions over compliance failures

MATTHEW WAI  |  WEDNESDAY, 26 NOV 2025
... contravening its obligations under financial services laws. Under the imposed condition, LTT needs to appoint an independent compliance consultant to review and assess its procedures to ensure the documents are submitted within the prescribed timeframe. ...

Super funds lagging RIC obligations: Pulse Check

ELIZA BAVIN  |  WEDNESDAY, 26 NOV 2025
... meaningfully drive better retirement outcomes and meet their members' needs, compared to those who are focused on mere compliance with the covenant," the report said. "Unless action is taken, particularly by those falling behind, the quality of support ...

CalSTRS secures US$190m settlement against Meta

JAMIE WILLIAMSON  |  TUESDAY, 25 NOV 2025
... board. It will also adopt an independent director code of conduct that covers conflicts of interest, confidentiality, compliance with laws and regulation, and illegal behaviour. Meta also agreed to amend its director-level conflicts of interest policy ...

Clime shutters two funds, offloads retail book

KARREN VERGARA  |  TUESDAY, 25 NOV 2025
... Australian Income Fund is the subject of a preliminary ASIC investigation. This involves looking into the fund's compliance with the target market determination (TMD) and product disclosure statement, and whether it has breached the law in relation ...

Sequoia shares dive nearly 50%

KARREN VERGARA  |  TUESDAY, 25 NOV 2025
... late afternoon on November 12, when a representative of Maddocks Lawyers contacted Sequoia head of legal, risk and compliance Justin Harding, via phone, seeking information as to the correct person to serve ASIC notices for InterPrac. Upon notification ...

Mason Stevens secures mandate from UHNW advisory

ELIZA BAVIN  |  TUESDAY, 25 NOV 2025
... clients value most," Hu said. This new partnership provides GloryHouse with Mason Stevens' institutional grade risk and compliance framework, operational infrastructure, and high-touch support. "Mason Stevens' architecture will allow us to curate best-in-class ...

Advisers may be caught by new AML/CTF reforms: Expert

MATTHEW WAI  |  FRIDAY, 21 NOV 2025
... providers tend to better understand their clients than banks, as he outlines how advisers may need to refresh their compliance framework to prepare for the upcoming changes. According to the AML/CTF Act, a financial adviser or an authorised representative ...

Rest hires from AustralianSuper

ELIZABETH FRY  |  THURSDAY, 20 NOV 2025
... several board committees, including member and employer services, people and culture, finance and audit and risk and compliance. Before working at AustralianSuper, he worked for Bupa in several roles from 2008 to 2021, culminating in four years as senior ...

Scaling practices depends on AI: FAAA

KARREN VERGARA  |  WEDNESDAY, 19 NOV 2025
... preparation of the Statement of Advice for 38% of respondents. An equal portion of 23% said onboarding and fact finding, and compliance and documentation are onerous. The remaining 15% find modelling and strategy development takes the longest. One example ...

HUB24 takes stake in Finura Digital

ELIZA BAVIN  |  WEDNESDAY, 19 NOV 2025
... streamlining tasks including client meeting preparation, scenario modelling, client goal tracking, SOA creation, and compliance checks within one secure ecosystem. Entwistle said the key to unlocking productivity is removing inefficiencies in the advice ...