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Showing 1881 - 1890 of 3516 results for "compliance"

Frontier Advisors strategy and people director departs after 20 years

ALEX BURKE  |  FRIDAY, 8 DEC 2017
... "worked in virtually all areas of the business," including investment and governance advice, leading research teams, compliance and marketing. She also played a central role in launching Frontier's research, analytics and compliance service, the Frontier ...

ANZ Wealth business governance head departs for Vanguard

ALEX BURKE  |  THURSDAY, 7 DEC 2017
... business governance has taken on a new role at Vanguard after 16 years with the bank. Ian Dent joins Vanguard as senior compliance manager. In this position, a Vanguard spokesperson said, Dent will "lead Vanguard Australia's compliance function across ...

Deutsche Asset Management rebrands

KARREN VERGARA  |  WEDNESDAY, 6 DEC 2017
... (chief control officer). Von Tippelskirch, who has been with the bank for 18 years, will also be responsible for legal, compliance, risk, governance and legal entity management. He was most recently the global head of incident and investigation management. ...

Cbus expands senior investment team

EMMA RAPAPORT  |  WEDNESDAY, 6 DEC 2017
... based in Melbourne. She has experience across asset management in Australia and the UK, having held senior legal and compliance positions at River and Mercantile Group, Morgan Stanley Investment Management and Merrill Lynch. The third appointment sees ...

Infocus chief executive departs

JAMIE WILLIAMSON  |  WEDNESDAY, 6 DEC 2017
... delivering wealth management solutions to Australians from all walks of life, but it is now seen as a leader in terms of compliance, use of technology, breadth of service and the efficiency of the delivery of financial advice solutions for clients...I ...

Meat industry fund welcomes new chief executive

JAMIE WILLIAMSON  |  FRIDAY, 1 DEC 2017
... joined AMIST Super in 2014 and has more than 20 years' experience in financial services across regulation, licensing, compliance, product development and administration, investments and futures trading. Prior to AMIST Super, Rutherford was senior manager ...

Former Fidante-aligned boutique targeted by UK regulator

JAMIE WILLIAMSON  |  THURSDAY, 30 NOV 2017
... clients/investors as a result of the activity, and we do not anticipate any loss in the future," the statement read. "We take compliance matters seriously and are committed to ensuring that our business is managed with the highest commitment to legal ...

ASIC brings in disclosure expert to review RG97

ALEX BURKE  |  WEDNESDAY, 29 NOV 2017
... will meet with service providers, representatives of both industry and retail funds, and funds at various levels of compliance with RG97," ASIC added. "In the meantime, the facilitative compliance approach to fees and costs disclosure will continue. ...

Game theory revolutionises risk profiling

JAMIE WILLIAMSON  |  WEDNESDAY, 29 NOV 2017
... and the level of consistency in a consumer's decision-making is a real breakthrough. "You can immediately add to your compliance safeguards by identifying those clients who need extra help because of inconsistent decision making," he said. The business ...

Advisers call for exam, standards clarity

KARREN VERGARA  |  WEDNESDAY, 29 NOV 2017
... levels. Marshan said advisers should see the exam as a way to efficiently top-up their learning and understanding of compliance obligations to clients. He pointed out that some advisers will choose not to take the exam or degree transition at all, but ...