The latest issue of Financial Standard now available as an e-newspaper
|Showing 1 - 10 of 100+ results for "Compliance"|
|... 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 ...|
|... 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 ...|
|... 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 ...|
|... 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.|
|... 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 ...|
|... 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 ...|
|... 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 ...|
|... 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. ...|
|... 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 ...|
|... 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 ...|
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Intensifying its commitment to the Asia Pacific region, State Street has appointed a long serving J.P. Morgan executive as its first country head for Australia.
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Former Spectrum Wealth Advisers chief executive Mark Schroeder has been slapped with banning orders in addition to his six-year ban from providing financial services.
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New analysis from Rainmaker Information shows about 60% of all MySuper products reduced their fees last financial year, with the average fees paid by members now sitting at 1%.
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Octopus Investments, an energy asset manager, has made several appointments after recently surpassing $1 billion in assets under management.
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