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Showing 141 - 150 of 539 results for "Supervision"

MSC Group hires three

KANIKA SOOD  |  WEDNESDAY, 21 JUL 2021
... dealer group. At Sandhurst, Williams led three operating teams with over 140 mandates and $8 billion in funds under supervision. MSC Group has also appointed two new co-leads for its fund administration business MSC Abacus. Sachin Tokhi previously worked ...

ASIC disqualifies SMSF auditor

ANNABELLE DICKSON  |  WEDNESDAY, 30 JUN 2021
... form. Shrubsole's breaches were first identified by the ATO under section 128P of the Superannuation Industry (Supervision) Act 1993 (SIS Act) and then referred to ASIC. Both ASIC and the ATO act as co-regulators of SMSF auditors. The ATO's role ...

Better Advice regulations hit parliament

KARREN VERGARA  |  FRIDAY, 25 JUN 2021
... examples of actions the FSCP can take against advisers include warnings or reprimands; directions to undertake training, supervision, counselling or reporting; and the suspension or cancellation of registrations. It can issue an infringement notice or ...

ASIC fines trading firm

ANNABELLE DICKSON  |  WEDNESDAY, 23 JUN 2021
... market participant on 28 January 2019 until 4 June 2020. In addition, the MFP believed Life Trading's framework for the supervision of traders was under-resourced, uncoordinated and undocumented for that period. "Life Trading's compliance culture throughout ...

KPMG names risk consulting partners

ANNABELLE DICKSON  |  FRIDAY, 4 JUN 2021
... and director at Grant Thornton in risk management. She was also a supervisor at APRA where she provided frontline supervision of two major Australian banking groups and spend over a decade in risk management roles in the UK at Deloitte, Royal Bank of ...

APRA approves MLC super takeover

ELIZABETH MCARTHUR  |  FRIDAY, 7 MAY 2021
... Australia Bank to acquire the MLC wealth management business, which includes NULIS. Under the Superannuation Industry (Supervision) Act 1993, APRA must approve any changes to the holder of a controlling stake in an RSE license. IOOF agreed to buy MLC ...

AMP advice transformation leads exits

KARREN VERGARA  |  FRIDAY, 7 MAY 2021
... Bank. Her most recent role there was directing its future advice model and spent a year prior to that overseeing the Supervision and Monitoring (SAM) program to support the transformation of the advice business across Commonwealth Financial Planning. ...

Government opens consultation on key advice reforms

JAMIE WILLIAMSON  |  MONDAY, 19 APR 2021
... Financial Adviser Register, including warnings, reprimands, directions to undertake specified training, counselling or supervision, orders suspending or prohibiting registration, and infringement notices. The announcement follows the decision to dissolve ...

O'Dwyer joins Barrenjoey

ANNABELLE DICKSON  |  TUESDAY, 13 APR 2021
... thrilled with the appointment of two outstanding individuals who will be responsible for overseeing the effective supervision and governance of Barrenjoey," Barrenjoey non-executive chair David Gonski said. Barrenjoey chief executive Brian Benari said ...

APRA takes action against Macquarie

ANNABELLE DICKSON  |  THURSDAY, 1 APR 2021
... stable funding ratio calculation. "Alongside the enforcement actions, APRA will subject Macquarie Bank to intensified supervision to address the bank's persistent difficulties in complying with its prudential obligations. We cannot rule out further action ...