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Showing 121 - 130 of 3495 results for "compliance"

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 ...

Frontier recruits operating chief

ELIZABETH FRY  |  THURSDAY, 18 DEC 2025
... Hulley brings more than twenty years of executive experience, having led investment management operations, regulatory compliance and business transformation across complex financial services environments. Most recently she held the role of Group chief ...

Australian Ethical appoints chief risk officer

ANGELIQUE MINAS  |  THURSDAY, 18 DEC 2025
... at AustralianSuper. Before these roles, Kooyman held senior executive positions at AMP Capital, and senior risk and compliance roles at Perpetual, Deloitte's UK office and HSBC. In her new position, Kooyman will be a member of the executive leadership ...

Sequoia expects earnings hit from Shield, First Guardian

KARREN VERGARA  |  TUESDAY, 16 DEC 2025
... In order to mitigate any potentially similar legacy exposures, the group has implemented enhanced risk management, compliance monitoring, and adviser supervision frameworks across its licensee and adviser services division," the firm said. Sequoia recently ...

ASIC welcomes support for simplifying guidance on conflicts of interest

MATTHEW WAI  |  TUESDAY, 16 DEC 2025
... recommends related entities to take a proportionate and risk-based approach to their obligations and may assess their compliance with industry standards or practices if necessary. "Specifically, we will take industry standards or codes of conduct into ...