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Showing 1551 - 1560 of 3504 results for "compliance"

Perfect storm smashes AMP

HARRISON WORLEY  |  THURSDAY, 14 FEB 2019
... said he feared face-to-face advice would become less affordable and more onerous to run as professionalisation and compliance in the sector increased. However he isn't concerned with having fewer advisers, and said the quality of advisers was more ...

Former super fund executive joins fintech

DARREN SNYDER  |  WEDNESDAY, 13 FEB 2019
... Financial Wellbeing program. "We know and understand financial literacy competencies as well as the technical, legal and compliance aspects of financial education provision," Mills said. She added the findings of the financial services Royal Commission ...

Legalsuper renews admin contract

KARREN VERGARA  |  TUESDAY, 12 FEB 2019
... criteria used in selecting an administrator included: organisational strength, technology infrastructure, service, compliance and experience, pricing and strategic compatibility. A key challenge for funds and their administrators is to stay ahead of ...

Former Macquarie advisers have bans reduced

JAMIE WILLIAMSON  |  TUESDAY, 12 FEB 2019
... ASIC that Landau and Campbell had falsified the content of client email exchanges to mislead or deceive Macquarie's compliance team into believing general advice or execution only instructions had been given, not personal advice. They then arranged for ...

Mainstream board loses former ASIC executive

JAMIE WILLIAMSON  |  MONDAY, 11 FEB 2019
... Layton served as senior executive, consumer protection for financial services. She also has a long history of working in compliance roles, having served as compliance manager at Tyndall Australia - now Nikko Asset Management - in the early 1990s and ...

Hayne report raises professionalism stakes

JAMIE WILLIAMSON  |  MONDAY, 11 FEB 2019
... same rigid license registration requirements as doctors and lawyers if the Royal Commission's recommendations on compliance and further education in the industry become law. Commissioner Kenneth Hayne is calling for the ASIC Financial Advisers Register ...

The $500k price tag on bad super choices

KANIKA SOOD  |  FRIDAY, 8 FEB 2019
... 10 years to June 2018. The research was conducted by Rainmaker Information's executive director of research and compliance Alex Dunnin and his team. "What causes the damage to members' potential superannuation savings is the huge variation between ...

CBA posts $4.6b in profits, dividend flat

KANIKA SOOD  |  WEDNESDAY, 6 FEB 2019
... 3% to $5.3 billion as one-off items from the prior period offset the increased spending on advice, remediation and compliance. The bank's total spending on remediation now stands at $1.46 billion, including provisions. This includes advice. Majority ...

Former Morgan Stanley chief to join Westpac board

HARRISON WORLEY  |  WEDNESDAY, 6 FEB 2019
... join the board of Westpac in March as non-executive directors, and both are set to be appointed to the board risk and compliance committee. Harker is the former managing director and chief executive of Morgan Stanley in Australia, and led the firm's ...

Institutions respond to Royal Commission, make commitments

HARRISON WORLEY  |  TUESDAY, 5 FEB 2019
... by Hayne in the report, with the Commissioner noting CBA had been confronted directly about why it had conduct and compliance issues in a manner not shared by its contemporaries. "I was persuaded that Mr Comyn...is well aware of the size and nature of ...