Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 1 - 10 of 100+ results for "Compliance"

Former Spectrum chief cops additional bans

KARREN VERGARA  |  WEDNESDAY, 20 OCT 2021
... failed to monitor and supervise Spectrum's representatives, which was "indicative of a culture that promoted growth over compliance", the tribunal said, adding that he contributed to that culture by occupying senior roles in which he did not perform ...

Link names head of insurance

KARREN VERGARA  |  WEDNESDAY, 20 OCT 2021
... the changing needs of insurers and fund members. Theresa Mills recently joined the firm as global head of risk and compliance for RSS. Mills hailed from ASIC where she was a director of its financial literacy board before taking on the superannuation ...

Industry mixed over FSC advice framework

ANNABELLE DICKSON  |  FRIDAY, 15 OCT 2021
... Association (TAA) and Synchron support changes that will lead to affordable advice for consumers and relieving the compliance burden for financial advisers. The FSC's latest research, White paper on financial advice, outlined proposals reclassifies retail ...

ASIC calls for stronger whistleblowing policies

ANNABELLE DICKSON  |  THURSDAY, 14 OCT 2021
... expect you to address and correct them without delay," ASIC commissioner Sean Hughes said. ASIC will continue monitoring compliance with whistleblower policies and plans to conduct another review in the future.

CBA completes review, sued by FWO

ANNABELLE DICKSON  |  TUESDAY, 12 OCT 2021
... workers about $16.44 million in wages. In 2019, CBA flagged to the FWO and ASX that it was completing a review of its compliance with enterprise agreements and identified contraventions. FWO is alleging that CBA and CommSec breached clauses of its enterprise ...

AustralianSuper appoints chief risk officer

JAMIE WILLIAMSON  |  TUESDAY, 12 OCT 2021
... He has held several roles over the years including director, investment finance and legal and director of risk and compliance projects. Commenting on his new responsibilities, Mantello said: "The AustralianSuper board and executive team have committed ...

Midwinter appoints head of product

ELIZABETH MCARTHUR  |  MONDAY, 11 OCT 2021
... opportunity for advice businesses to improve efficiency through technology, particularly for advice production and compliance. I also believe many Australians could benefit from advice if it was more accessible. I am excited to join a company that is ...

Fiducian adds $38m FUA to network

KARREN VERGARA  |  FRIDAY, 8 OCT 2021
... Albury/Wodonga area by providing support services worth $360,000. This covered training, practice management, legal assistance, compliance, and technology support. It is the dealer group's policy not to disclose the names of advisers that join its network. ...

Suncorp names chief risk officer

ANNABELLE DICKSON  |  FRIDAY, 8 OCT 2021
... years at IG Group first joining as a lawyer in 2005 and later went on to become general counsel and global head of compliance. In her most recent role, she was responsible for driving and enabling growth and international expansion in a heavily regulated ...

Milestone Group launches valuation tool

KARREN VERGARA  |  WEDNESDAY, 6 OCT 2021
... back-office solution that aims to accurately value securities. Fair Value Control can be used by administration and compliance teams to help reduce operational risk, improve governance and provide insights to fund managers and fund boards. Milestone ...
PREVIOUS
NEXT