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Showing 1611 - 1620 of 3506 results for "compliance"

Asset manager consolidation top of mind for HNWIs

DARREN SNYDER  |  WEDNESDAY, 28 NOV 2018
... robo-advice services, with hardened process orchestration, may be necessary to ensure increasingly strict regulatory compliance can be maintained and alignment can be assured with ethically sound business processes that avoid potential conflicts of interest ...

Miscalculations delay remediation, more issues emerge: AMP

JAMIE WILLIAMSON  |  WEDNESDAY, 28 NOV 2018
... managing director of one of its advice licensees. Wilkins explained that an adviser was being off boarded as a result of compliance issues and attempting to sell their client book. A direction was given by AMP for fees to be turned off while clients ...

Vertical integration not to blame

HARRISON WORLEY  |  MONDAY, 26 NOV 2018
... scorecard used to monitor variable remuneration is significantly less effective than fixed remuneration when it comes to compliance outcomes. Co-author of the report, associate professor Elizabeth Sheedy says the balanced scorecard tested did not lead ...

Wealth an unnecessary failure: Thorburn

HARRISON WORLEY  |  MONDAY, 26 NOV 2018
... witness box Thorburn lamented that MLC ended up as a separate business unit within NAB, noting the complexities of compliance and regulatory risk in wealth were not properly understood by the bank. MLC now leaves NAB - as Thorburn described it - as a ...

SelectingSuper honours super industry leaders

DARREN SNYDER  |  THURSDAY, 22 NOV 2018
... Hall of Fame after being presented with the Industry Service Award. Rainmaker Group executive director of research and compliance Alex Dunnin said there's much more to running a super fund than just returns. "There's how it serves its members ...

CBA board ignored key issues in deciding executive pay

KANIKA SOOD  |  WEDNESDAY, 21 NOV 2018
... results. However, as always, there may need to be adjustments, yet to be determined for FY2016 due to potentially sub-par compliance and other matters currently under investigation. One such matter is the CommInsure issue, which although still under ...

Industry fund appoints risk executive

JAMIE WILLIAMSON  |  WEDNESDAY, 21 NOV 2018
A $2.5 billion industry superannuation fund recently welcomed a former Energy Super compliance specialist to lead its risk and governance function. Lisa Swenson joined Intrust Super as executive manager, risk in October. In doing so, she succeeds former ...

Blue Sky names new chair

JAMIE WILLIAMSON  |  TUESDAY, 20 NOV 2018
... and transformation. He also has considerable skills in business strategy, financial oversight, risk management and compliance, which we look forward to utilising," Kain said. "His executive background in private markets funds management at Hastings will ...

Royal Commission puts bonuses on notice

HARRISON WORLEY  |  TUESDAY, 20 NOV 2018
... of Finance Professionals under the Balanced Scorecard" found fixed remuneration structures achieved higher rates of compliance than balanced score cards. Compliance rates of 75% were achieved when bonuses were taken out of the equation. Comparatively ...

ClearView launches new business, reshuffles executive team

KARREN VERGARA  |  MONDAY, 19 NOV 2018
... ClearView has made three executive promotions coinciding with the launch of a new business offering back-office and compliance services to financial advisers. LaVista Licensee Solutions, a licensing service, will be led by Mike Pope as its chief executive. ...