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Showing 2021 - 2030 of 3516 results for "compliance"

Major ASIC project finds serious financial advice concerns

ALEX BURKE  |  FRIDAY, 17 MAR 2017
ASIC has released a report on how large financial advice firms have addressed serious conduct, compliance and customer remediation issues, revealing serious concerns about how the industry has operated over the past five years. The report is part of ...

Compliance and cybersecurity keeping bankers awake

KARREN VERGARA  |  FRIDAY, 17 MAR 2017
Regulatory pressures and cybersecurity are the main areas of concern for Australian bankers, the 2017 EY Global Banking Outlook report shows. One-hundred per cent of the banking executives surveyed said enhancing cybersecurity and complying with consumer ...

ATO payroll system tracking unpaid super

KARREN VERGARA  |  THURSDAY, 16 MAR 2017
... workers' superannuation the same time wages are paid. Quarterly payment cycles for superannuation guarantee creates a non-compliance risk and increases the likelihood payments are missed, Cbus said. From 1 July 2017, the ATO will be 'systems ready' for ...

Wages and super should be aligned: Cbus

EMMA RAPAPORT  |  TUESDAY, 14 MAR 2017
... industry super fund claims the quarterly payment cycle for the superannuation guarantee creates a significant risk of non-compliance and increases opportunities for payments to be missed. "The most effective solution to the growing problem of unpaid ...

Cooper Investors appoints EQT, hires retail lead

KARREN VERGARA  |  MONDAY, 13 MAR 2017
... fund managers focus on investment management, the role of the RE is to take care of protecting investor interests and compliance," Kalman said. Established in 2001, Cooper Investors manages six pooled wholesale trusts invested in both domestic and international ...

BTIM strengthens risk and operations divisions

JAMIE WILLIAMSON  |  WEDNESDAY, 8 MAR 2017
... asset management, structuring private equity transactions and acquisitions. Coles was most recently chief risk and compliance officer for State Bank of India, prior to which he was head of risk management for Australia and New Zealand and corporate operational ...

Super to drive employment in 2017

JAMIE WILLIAMSON  |  MONDAY, 6 MAR 2017
... expected to be across marketing, sales and administration. Other areas identified for growth include technology, risk and compliance, operations, and member/investor engagement. However, a quarter of respondents revealed an expectation to reduce staff ...

Kaplan buys artificial intelligence regtech

JAMIE WILLIAMSON  |  FRIDAY, 3 MAR 2017
... for financial advisers to create and share compliant digital content, and has now acquired the company to broaden its compliance capabilities via artificial intelligence. The Artemis tool identifies 'risky' content in the creation stages to help advisers ...

Netwealth dominating platform sector

JAMIE WILLIAMSON  |  WEDNESDAY, 1 MAR 2017
Platform providers are shifting their focus toward development of functionality after years of costly compliance work, with netwealth leading the field. That is a key finding of Investment Trends' 2016 Platform Benchmarking and Competitive Analysis ...

Pricing error shaves $2.2m off Australian Ethical profit

ALEX BURKE  |  TUESDAY, 28 FEB 2017
... said shareholders should expect an increase in staff expenses as part of increasing resources in operational, risk and compliance roles. Taking this into account, Australian Ethical said underlying net profit after tax was actually up 52% compared to ...