Search Results | Showing 141 - 150 of 3469 results for "Compliance" |
| | | Superannuation funds have been a standout driver of governance, risk and compliance (GRC) hiring, according to a report by Kaizen Recruitment. The latest salary guide by the recruitment firm found pockets of resilience and emerging opportunities in ... |
| | | | ... adviser. ASIC said it is important financial advisers remember continuing professional development is "not merely a compliance obligation to tick off", but that it is important to maintain competency and improve knowledge and skills. ASIC said it will ... |
| | | | ... after three years at Cbus Super Fund, Kevin Hong has been named senior manager in the investments operational risk and compliance team at Rest. Before joining Cbus Super as a risk and compliance analyst, he worked at ANZ in acquisitions and valuations ... |
| | | | ... retirement savings at risk, an ASIC review reveals. Of 100 financial advice files investigated, 62 failed to demonstrate compliance with the best interests duty. One quarter of these raised significant concerns about client detriment relating to recommendations ... |
| | | | ... "part of the practice's ecosystem" and tied to his firm's DNA. "It offers AI file note capability, it's got compliance tools," he says. "It even generates a Record of Advice that we have to produce to meet our obligations. "So, it does all ... |
| | | | ... three for average firms (37%). Numbers were closer for advice-related activities, such as paraplanning (49% and 46%), compliance (42% and 34%), and mortgage and loans (33% and 27%). AdviceTech Stars were, however, found to have lower outsourcing numbers ... |
| | | | ... watchdog set the record straight, stating that it has commenced an investigation into the fund with respect to its compliance with the target market determination (TMD) and product disclosure statement, and whether it has breached the law in relation ... |
| | | | ... reporting and audit 2024-25 outlined findings from company financial reporting and audit surveillances; enforcement and compliance actions against registered company auditors; outcomes relating to company financial reports; and observations on auditor ... |
| | | | ... stakeholders," it said. "A stronger framework will manage risk, deter bad actors and appropriately penalise serious non-compliance with strong and flexible powers to manage high-risk investment to ensure that Australia's national interest and national ... |
| | | | ... (which did not involve direct client contact or the provision of financial advice) rather than involve himself in the compliance and reporting obligations of Crown Wealth, and that his inaction and inattentiveness to these obligations was a serious lapse ... |
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