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Showing 141 - 150 of 3500 results for "Compliance"

ASIC sues Diversa for First Guardian failures

KARREN VERGARA  |  TUESDAY, 9 DEC 2025
... limit it imposed for First Guardian, ASIC alleged, and that it failed to have systems and processes in place to ensure compliance with that holding limit. ASIC questioned if Diversa had any regard to the apparent nature and characteristics of First Guardian ...

APAC investors push for 24-hour trading in US markets

ELIZA BAVIN  |  FRIDAY, 5 DEC 2025
... strengthens the market ecosystem. However, scaling distributed ledger technology remains challenging, making regulatory compliance and industry coordination essential."

Benchmark report reveals crucial blind spots in whistleblower protections

MATTHEW WAI  |  THURSDAY, 4 DEC 2025
... corporate governance. These programs provide important information for directors to oversee their company's operations and compliance with the law." He is encouraging companies to benchmark themselves against the findings to consider how they can improve. ...

AustralianSuper expands international investment team

RIDDHIMA TALWANI  |  THURSDAY, 4 DEC 2025
... externally managed funds. The super fund also appointed Sophie Dupré-Echeverria as international head of group risk and compliance. Dupré-Echeverria joins AustralianSuper with over two decades of experience in risk and compliance leadership in global ...

ASIC allows more forms to be lodged via email

STAFF WRITER  |  THURSDAY, 4 DEC 2025
... lodged by email are: 205 Notification of resolution 206 Application for change of company type 207Z Certification of compliance with stamp duty law 208 Notification of details of shares issued other than for cash 218 Constitution of company - lodged ...

Tyndall Asset Management calls time

KARREN VERGARA  |  TUESDAY, 2 DEC 2025
... under the Yarra umbrella. Yarra will provide sales and marketing, investment operations, finance and legal, risk and compliance services. Meanwhile, the Australian Share Wholesale Fund and Australian Share Income Fund will see Yarra Capital Management ...

Former ASIC supervisor joins crypto platform as operating chief

MATTHEW WAI  |  MONDAY, 1 DEC 2025
... manager for securities and strategies. During his time at ASIC, he led the supervision of financial markets and managed compliance applications for Australian Market Licences, to which, Coinbase said Judd will help prepare its next phase of growth and ...

ASIC suspends Newcastle advice firm's AFSL over missing key person

MATTHEW WAI  |  FRIDAY, 28 NOV 2025
... ASIC's broader review of advice licensees that use lead generation services and reinforces its ongoing focus to ensure compliance by AFSL holders.

DASH reshapes leadership team

ELIZABETH FRY  |  THURSDAY, 27 NOV 2025
... chief commercial officer Mark Papendieck steps into the role of chief operating officer. Ho will oversee governance, compliance and risk frameworks across DASH's expanding advice, platform and technology operations. With more than two decades of ...

CareSuper exec joins Prime Super

ELIZABETH FRY  |  THURSDAY, 27 NOV 2025
... similar role. Mathew Williamson has started a new role with the $8 billion superannuation fund, leading the risk and compliance function and reporting to Prime Super chief executive Raelene Seales. His appointment as general manager, risk and compliance ...