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Showing 1471 - 1480 of 3501 results for "compliance"

ASIC product intervention to commence

JAMIE WILLIAMSON  |  THURSDAY, 27 JUN 2019
... regulatory guide expected in September. ASIC is seeking to understand the impact such powers will have on the cost of compliance and the likely effect on competition.

AstuteWheel adds capability

HARRISON WORLEY  |  WEDNESDAY, 26 JUN 2019
... clients without an ongoing service agreement. AstuteWheel managing director Hans Egger said the base product's new compliance tools would help solve compliance issues which have traditionally frustrated advisers. "As the system functionality expanded ...

Self-licensing trend boosts ClearView offering

ELIZABETH MCARTHUR  |  TUESDAY, 25 JUN 2019
... AFSL in mid-2016 and appointed LaVista in March this year. Macaplan was attracted to LaVista by the group's specialist compliance services and the flexibility to cherry-pick the components they needed. Macfarlane said: "We needed an experienced partner ...

John Key under fire

ELIZABETH MCARTHUR  |  TUESDAY, 25 JUN 2019
... that it is operating in a prudential manner in New Zealand by way of an independent review and report covering ANZ's compliance with RBNZ's capital adequacy requirements. Following that, ANZ will have to produce a second report which will assess the ...

AUSTRAC zeroes in on Afterpay

HARRISON WORLEY  |  MONDAY, 17 JUN 2019
Tech-darling Afterpay is feeling the regulatory heat after AUSTRAC ordered an audit of the fintech's compliance with Anti-Money Laundering and Counter-Terrorism Financing Act (AML/CTF) laws. AUSTRAC said an external auditor will examine Afterpay's governance ...

AMP Super, board slapped with licence conditions

KARREN VERGARA  |  FRIDAY, 14 JUN 2019
... and strengthen its board. APRA will also require AMP Super to engage an external expert to report on remediation and compliance with the new directions and conditions. "The action arises from issues identified during APRA's ongoing prudential supervision ...

Commonwealth FP completes EU compliance

ELIZABETH MCARTHUR  |  WEDNESDAY, 12 JUN 2019
... final independent expert report from Ernst & Young. ASIC is satisfied with the attestation and expert report, meaning compliance with the obligations of the court enforceable undertaking has been satisfied. However, ASIC said payment of some remaining ...

Industry fund names chief risk officer

KARREN VERGARA  |  THURSDAY, 6 JUN 2019
... manager of governance and product at ESSSuper for more than four years. She held senior roles at Vanguard as head of compliance, and was Energy Australia group manager of regulatory compliance. During her time at Aviva Wealth Management, she served as ...

TAL offers advisers ethics assistance

HARRISON WORLEY  |  TUESDAY, 4 JUN 2019
... "From 1 January 2020, financial advisers must comply with a code of ethics and be covered by a scheme under which their compliance with the code of ethics will be monitored and enforced," Riley said. "Additionally, financial advisers must obtain nine ...

CFS taps senior Qantas Super executive

KANIKA SOOD  |  MONDAY, 3 JUN 2019
... governance and members' best interests. Loughrey most recently served as Qantas Super's head of legal, risk and compliance. He held the role from November 2011 to April 2019. Prior to Qantas, Loughrey worked legal and risk roles at BT Financial ...