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Showing 2141 - 2150 of 3517 results for "compliance"

Vanguard makes senior hire

JAMIE WILLIAMSON  |  FRIDAY, 2 SEP 2016
Vanguard Australia has appointed a new head of legal and compliance. Ashley Warmbrand, formerly head of risk and audit governance at NAB, will commence with the fund manager in October. With over 15 years' experience in financial and professional services ...

Good financial advice a challenge: ASIC

KERRIE SYDEE  |  FRIDAY, 2 SEP 2016
... the financial system. ASIC hopes to promote better gatekeeper culture through a number of projects including: Advice compliance at the big five financial advice firms Conflicted advice at the big five financial advice firms Fee-for-no-service Life Insurance ...

Digital advice an economic problem

DARREN SNYDER  |  TUESDAY, 30 AUG 2016
... where funds complicated the roll out of digital advice because the business was not collectively on the same page. "Compliance and legal people were starting to talk like marketing people and marketing people were thinking about the member experience ...

Industry fund expands investment team by 74pct

DARREN SNYDER  |  MONDAY, 29 AUG 2016
... appropriately implemented and supported, Cbus is also adding resources to existing expertise in investment legal and compliance, middle office operations, communications, risk management and performance reporting. New investment roles at the fund will ...

Stockspot preps new tool for partners

JAMIE WILLIAMSON  |  FRIDAY, 26 AUG 2016
... professionals to team up with the automated investment adviser to manage client's portfolios including all advice, investing, compliance, rebalancing and tax reporting with full visibility via an online investment dashboard and automated strategy updates. ...

ASIC bans former Macquarie advisers

JAMIE WILLIAMSON  |  THURSDAY, 25 AUG 2016
... planning advice to clients. ASIC deputy chairman Peter Kell said, "Financial planners are required to meet stringent compliance standards to protect the interests of their clients and instill confidence in the broader financial advice industry. ASIC ...

ASIC accepts EU from My Adviser

KERRIE SYDEE  |  WEDNESDAY, 24 AUG 2016
... independent expert to review a sample of client files of My Adviser's representatives and prepare a report demonstrating compliance with sections 961B and 961G of the Corporations Act, and Prepare a remedial action plan to deal with the recommendations ...

Industry super fund selects J.P. Morgan for custody

MARK SMITH  |  TUESDAY, 23 AUG 2016
... its securities services provider, J.P. Morgan will deliver custody, fund accounting, unit pricing, performance and compliance reporting services to the 90,000 member fund. The fund will transition its business to J.P. Morgan later this year. Club Plus ...

ANZ appoints internal audit GM

ALEX BURKE  |  MONDAY, 22 AUG 2016
... also held roles at Deustche Bank and PwC. In his new role, Corbally replaces Michael Liarakos, who has become chief compliance officer; he will report to audit committee chair Paula Dwyer and chief executive Shayne Elliott. Elliott said: "It's pleasing ...

Local hedge funds fighting for insto attention

ALEX BURKE  |  MONDAY, 22 AUG 2016
... reporting mechanisms, automated trade reconciliations and collateral management systems, with dedicated operation, compliance and client service teams. This all takes time and money." At the same time, though, Ivey said that alternatives managers are ...