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Showing 1601 - 1610 of 3506 results for "compliance"

Freedom ditches life insurance sales

KARREN VERGARA  |  THURSDAY, 6 DEC 2018
... chair of the ASX-listed firm, said her appointment will bring highly relevant experience in life insurance, regulatory, compliance and risk frameworks and governance.

Industry fund finds new advice tech partner

JAMIE WILLIAMSON  |  THURSDAY, 6 DEC 2018
... gives BUSSQ an ability to not only monitor and supervise the advice as it is delivered, but provides an additional compliance overlay for advisers to ensure they are acting in their clients' best interests. "BUSSQ now has a modern, best-of-breed approach ...

Industry fund hires group executive

KANIKA SOOD  |  WEDNESDAY, 5 DEC 2018
... financial strategy and management; accounting services; company secretariat and legal; audit and risk management; and compliance. Kyle most recently worked on MLC Life's separation from NAB and established their first-line risk, compliance and financial ...

Perpetual hires former Macquarie exec

KANIKA SOOD  |  WEDNESDAY, 5 DEC 2018
... the newly-created role of chief risk officer. She has previously worked as Macquarie Funds Group's and KPMG's head of compliance and operational risk. She has also held the role of Macquarie Group's head of deal management in a 23-year-long career. In ...

New initiatives ready advisers for the future

JAMIE WILLIAMSON  |  WEDNESDAY, 5 DEC 2018
... partnership, with financial services law firm Holley Nethercote, will provide advice businesses with access to a range of compliance services and training, specifically targeting small to medium AFSLs and advice practices. Wilson said it has become obvious ...

AMP replaces Regan

JAMIE WILLIAMSON  |  WEDNESDAY, 5 DEC 2018
... transforming its business and developing new systems and technology to improve the advice process and strengthen governance, compliance and controls - all which results in an enhanced advice experience for customers," he said. De Ferrari described Wade ...

Celebrities cop $1m crypto fine

JAMIE WILLIAMSON  |  MONDAY, 3 DEC 2018
... who endorse an investment often do not have sufficient expertise to ensure that the investment is appropriate and in compliance with federal securities laws."

Fiducian acquires Perth financial planning firm

KANIKA SOOD  |  MONDAY, 3 DEC 2018
... Jai Singh said: "We are excited to have this financial planner and their team join the Fiducian network. Our proven compliance process and systems for financial planning will support the financial planners involved in this project to grow our WA footprint." ...

APRA grilled over superannuation

KANIKA SOOD  |  FRIDAY, 30 NOV 2018
... asked of Byres. Hodge said it was the same issue with CBA - the framework and policies looked good but the audit and compliance functions were not alerting or raising issues up. How NAB/MLC's fee for no service breach was discovered Tendering an MLC ...

ANZ hid reasons for executive pay cuts

KANIKA SOOD  |  THURSDAY, 29 NOV 2018
... its shareholders or staff that three of its senior executives had their variable pay held back in FY18 on account of compliance issues. Elliot's own variable remuneration was down 23% year on year for the financial year ending September 2018, a number ...