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Showing 2171 - 2180 of 3524 results for "compliance"

ASIC hands down multiple bans

KERRIE SYDEE  |  WEDNESDAY, 27 JUL 2016
... contravened a financial services law. ASIC deputy chair Peter Kell said: "Financial planners are required to meet stringent compliance standards to protect the interests of their clients and instil confidence in the broader financial advice industry. ...

IOOF advice nets $1.3bn in FY16

ALEX BURKE  |  WEDNESDAY, 27 JUL 2016
... culture at that time within IOOF contributed to these issues occurring," IOOF's appointment of PwC as an independent compliance reviewer has convinced the regulator that "IOOF has made significant changes to their policies and procedures." The group ...

ASIC needs to focus on prevention, not cure

ALEX BURKE  |  THURSDAY, 21 JUL 2016
... FSC Leaders Summit in Melbourne, Helmich said that ASIC's role is to ensure favourable customer experience based on compliance, while the "fiduciary side" requires industry self-regulation. In order to avoid a disaster like Storm Financial, he continued ...

MTAA Super bolsters investment team

DARREN SNYDER  |  MONDAY, 18 JUL 2016
... investment transactions; assisting with a continued improvement of the fund's investment governance framework; risk and compliance monitoring of the investment portfolio; and assisting in the management of unlisted alternative assets. MTAA also appointed ...

Russell makes two appointments to super board

ALEX BURKE  |  WEDNESDAY, 13 JUL 2016
... on the boards of Trac Group, Vinta Property Group, Russell and Basketball Australia. Previously she was a risk and compliance consultant and program manager at CBA. Before that, Dodwell was general manager - risk and compliance at Perpetual, and has ...

MLC adds to SMA suite

KERRIE SYDEE  |  TUESDAY, 12 JUL 2016
... efficient way for advisers to implement direct equity portfolios for their clients, through reduced administration and compliance obligations. And clients benefit from greater transparency, beneficial ownership of the underlying shares and access to ...

Aussie investors list operational alpha among top priorities

DARREN SNYDER  |  MONDAY, 11 JUL 2016
... couple of years. We've always been known as a front-office tool but we've extended in to the operations space to allow compliance officers and operations people to solve regulatory concerns," Ioannou said. He knows superannuation funds in Australia are ...

MORE Super switches to Simple Fund 360

MARK SMITH  |  MONDAY, 11 JUL 2016
... more than 200 accounting and planning firms. BGL has over 7,500 clients in 15 countries using its product suite of compliance solutions for superannuation, company secretarial, investment management and general ledger. Its clients include all major accounting ...

ASIC finalises IOOF inquiry

ALEX BURKE  |  FRIDAY, 8 JUL 2016
... investigation." ASIC's other concerns related to licensee and governance breaches, specifically consistency of breach reporting, compliance arrangements, disclosure, whistleblower policies and conflicts of interest. While ASIC said "in our view the corporate ...

Westpac hires senior compliance manager from CommSec

ALEX BURKE  |  THURSDAY, 7 JUL 2016
Westpac has appointed a new senior compliance manager. Dorota Piotrowicz joins Westpac from CommSec, where she was a risk senior manager. Prior to that, she worked in operational risk at BNP Paribas and was an internal audit manager at Macquarie. This ...