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Showing 191 - 200 of 3035 results for "Compliance"

Issuers must lift DDO game: ASIC

CASSANDRA BALDINI  |  THURSDAY, 4 MAY 2023
The regulator issued a warning to investment product issuers after a review found woeful compliance in meeting the design and distribution obligations (DDO). Since last July, ASIC has placed interim stop orders on 26 investment products from 18 issuers ...

HUB24 to buy myprosperity

CASSANDRA BALDINI  |  WEDNESDAY, 3 MAY 2023
... join HUB24. "We look forward to working together to continue to deliver efficiency, enhanced client engagement and compliance support for financial advisers and accountants and leveraging combined capabilities to deliver benefits for both new and existing ...

GBST acquires WealthConnect platform

ANDREW MCKEAN  |  WEDNESDAY, 3 MAY 2023
... for an undisclosed amount. WealthConnect is a digital practice management, customer relationship management (CRM) and compliance system, built on Salesforce. The investment platform offers both back-office administration and front-end digital capabilities ...

Payday super to boost retirement savings for millions

ANDREW MCKEAN  |  TUESDAY, 2 MAY 2023
... require employers to make superannuation payments quarterly. This has posed challenges for regulatory enforcement and compliance. "More frequent super payments will make employers' payroll management smoother with fewer liabilities building up on ...

Australian Retirement Trust names risk heads

ELIZABETH FRY  |  MONDAY, 1 MAY 2023
... Dianna Orbell, general manager for risk and assurance. Browne said the new roles are part of changes in the risk and compliance team structure. "These are internal appointments and the changes are designed to make it simpler for the risk and compliance ...

DASH adds to leadership

CASSANDRA BALDINI  |  WEDNESDAY, 19 APR 2023
... manager, super trustee office Mark Blair has also joined the firm as its superannuation specialist. Blair will work on compliance within DASH's super products as well as key growth opportunities which will come to market in the coming months, the ...

Linchpin, Endeavour directors found guilty

JAMIE WILLIAMSON  |  TUESDAY, 4 APR 2023
... Williams, Paul Raftery, Paul Nielsen and Peter Daly did not take all reasonable steps to ensure Endeavour complied with its compliance plan, obtained member approval for related party loans, or issued product disclosure statements that complied with ...

Taskforce exposes rising dangers for retail investors

ANDREW MCKEAN  |  FRIDAY, 31 MAR 2023
... create consumer helplines, and anti-scam campaigns. It also advocated for the use of tools to better identify firms' compliance with climate disclosure standards and to better detect greenwashing activities.

APRA investigates NobleOak capital adequacy breach

KARREN VERGARA  |  FRIDAY, 31 MAR 2023
... breaching its capital adequacy obligations. APRA said this morning that it will investigate the ASX-listed company's compliance process that led to breaches of capital adequacy requirements relating to reinsurance exposures and associated asset concentration ...

US regulator sues crypto giant, chief executive

CASSANDRA BALDINI  |  TUESDAY, 28 MAR 2023
... District Court against Zhao and three entities that operate Binance. The complaint also includes Binance former chief compliance officer Samuel Lim for aiding and abetting the crypto exchange. "For years, Binance knew they were violating CFTC rules ...