Search Results | Showing 201 - 210 of 3470 results for "Compliance" |
| | | ... of misconduct to inform our surveillance activities and investigations that together drive our priorities to deliver compliance, enforcement and consumer outcomes," Longo said. Simultaneously, ASIC has released its six-monthly Enforcement and Regulatory ... |
| | | | ... decades and was part of the fund's ETFs launch on the ASX and CBOE. Alongside Croft, Charles Cosgrove joined as senior compliance manager; Chos Geh as compliance consultant; Joseph Marassa as product analyst; and Ella Silvy as business development associate. ... |
| | | | ... resulted in a heightened demand for "high quality" operative support spanning technical assistance, advice enablement, and compliance among advisers, Investment Trends said, noting that advisers continue to rely heavily on licensee support. Self-licensed ... |
| | | | ... and head of products. At Evidentia, Komadina will oversee operational infrastructure, risk management and regulatory compliance. This is the last appointment to complete Evidentia's executive leadership team. Evidentia, Lonsec Investment Solutions and ... |
| | | | ... is warning life insurers to do better when it comes to their direct sales practices that have placed doubt on their compliance obligations and put consumer outcomes at risk. While some life insurance firms have improved since ASIC's 2018 review into ... |
| | | | Commonwealth Superannuation Corporation (CSC) has welcomed a chief risk and compliance officer, hiring from Equity Trustees. Nevein Versace has commenced in the role. She was most recently Equity Trustees' group executive and chief risk officer. In ... |
| | | | ... and practices across the group." Moving forward, the ASX said it will continue to focus on its response to the ASIC compliance assessment and inquiry. A report is expected to be delivered by the end of March 2026. |
| | | | ... VicSuper prior to the merger with First State Super that created Aware. Nguyen has also previously held senior risk and compliance roles at Mercer, IAG, AIA Australia, and PwC. Legalsuper previously had an executive manager, legal, risk and compliance ... |
| | | | ... structure. In total, Entireti Alliances will support 85 self-licensed advisory firms and 450 financial advisers, providing compliance, technology, business consulting, and education and training solutions. The head of IOOF Alliances Andy Marshall is ... |
| | | | ... Hostplus, while The Michael Dwyer Leadership Scholarship was awarded to BUSSQ executive manager, governance, risk and compliance Lisa Cumberland. Brighter Super chief executive Kate Farrar was named Fund Executive of the Year last year. |
|