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Showing 181 - 190 of 3495 results for "compliance"

FEATURE: Fund admin | Tight Ship

KARREN VERGARA  |  FRIDAY, 24 OCT 2025
... management side, MSC Abacus general manager Sachin Tokhi says administration is becoming not only technology driven but compliance driven. "Fund managers expect more than just a processing unit - they want real time reporting and seamless onboarding ...

Feature: Group insurance | Cold comfort

MATTHEW WAI  |  WEDNESDAY, 22 OCT 2025
... eligible beneficiaries, applies discretion if nominations are non-binding or contested, while ensuring everything is in compliance with superannuation law. Even if an insurer approves a claim, the super fund will still need to complete its trustee processes ...

Adviser banned after $11.3m loss

ELIZA BAVIN  |  WEDNESDAY, 22 OCT 2025
... had operated for longer than it had. "Northcott failed to understand the Australian financial services licensing and compliance regime and is not adequately trained, or is not competent, to provide one or more financial services, perform one or more ...

AWAG enters joint venture with Phillip Capital

ANGELIQUE MINAS  |  MONDAY, 20 OCT 2025
... brings 20 years of experience in capital markets with expertise in stockbroking, wealth management, technology and compliance for capital markets to the role. This venture comes amid a series of acquisitions, helping AWAG reach its ambitions of creating ...

Public feedback welcomed for Life Code improvements

MATTHEW WAI  |  MONDAY, 20 OCT 2025
... (CALI) in July and is being led by former ASIC deputy chair Peter Kell. The consultation paper delves into Life Code compliance and enforceability, while checking whether consumer commitments - within the Code - are effective and easily comprehensible. ...

ASIC targets potential vertical integration in managed accounts

KARREN VERGARA  |  FRIDAY, 17 OCT 2025
... will conduct a surveillance of AFSLs recommending and offering managed accounts to retail clients. "We will consider compliance with the general licensee obligations and advice conduct obligations. Our surveillance will focus on governance frameworks ...

iExtend hires national BDM

ELIZABETH FRY  |  THURSDAY, 16 OCT 2025
... iExtend recently appointed Michael Hull as chief operating officer to enhance its operational frameworks and to ensure compliance and regulatory standards as the business grows.

Equity Story to raise $3.5m to enter property sector

RIDDHIMA TALWANI  |  THURSDAY, 16 OCT 2025
... of the business, which includes the launch of new funds, seeding new investment products, enhancing operational and compliance systems, undertaking targeted marketing and investor engagement initiatives, and providing funding to support growth and diversification ...

Feature: Compliance | Passing the buck

ELIZA BAVIN  |  WEDNESDAY, 15 OCT 2025
... markets have been really strong for a while now, then people get greedy in that environment if you drop your guard on compliance," Gosselin says. "Then it's easier for products to slip through the net. The problem with the net is that there are a ...

ASIC targets funds over 'disappointing' retiree communications

ELIZA BAVIN  |  TUESDAY, 14 OCT 2025
... external service providers that develop and deliver retirement communications to ensure the communications meet quality, compliance and strategic expectations. ASIC said it is committed to working alongside APRA to hold super trustees to account for ...