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Showing 141 - 150 of 3495 results for "compliance"

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 ...

Maria Lykouras nabs new chief gig

JAMIE WILLIAMSON  |  THURSDAY, 27 NOV 2025
... businesses, served as head of risk for BT Financial Group's super, platforms and investments division, and worked in risk and compliance at Count Financial. SIAA chair Hamish Dee said Lykouras is an "outstanding choice" for the role. "Maria is dynamic ...

Australian Ethical Super handed extra licence conditions

JAMIE WILLIAMSON  |  THURSDAY, 27 NOV 2025
... required to appoint an independent third party to review and recommend improvements to the arrangement and enhance compliance with duties. In response, Australian Ethical said it is confident members' retirement savings have not been negatively impacted ...

FX coaching platform handed additional conditions over compliance failures

MATTHEW WAI  |  WEDNESDAY, 26 NOV 2025
... contravening its obligations under financial services laws. Under the imposed condition, LTT needs to appoint an independent compliance consultant to review and assess its procedures to ensure the documents are submitted within the prescribed timeframe. ...

Super funds lagging RIC obligations: Pulse Check

ELIZA BAVIN  |  WEDNESDAY, 26 NOV 2025
... meaningfully drive better retirement outcomes and meet their members' needs, compared to those who are focused on mere compliance with the covenant," the report said. "Unless action is taken, particularly by those falling behind, the quality of support ...

CalSTRS secures US$190m settlement against Meta

JAMIE WILLIAMSON  |  TUESDAY, 25 NOV 2025
... board. It will also adopt an independent director code of conduct that covers conflicts of interest, confidentiality, compliance with laws and regulation, and illegal behaviour. Meta also agreed to amend its director-level conflicts of interest policy ...