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Showing 211 - 220 of 306 results for "risk and compliance"

ROYAL COMMISSION: Top stories

JAMIE WILLIAMSON  |  FRIDAY, 20 APR 2018
... to charge ongoing service fees to clients that had died. Referring to a document from a December 2015 CBA risk and compliance committee meeting, Senior Counsel Assisting Michael Hodge outlined three instances including one in which a client had passed ...

Dead advice clients slugged ongoing service fees

JAMIE WILLIAMSON  |  THURSDAY, 19 APR 2018
... to charge ongoing service fees to clients that had died. Referring to a document from a December 2015 CBA risk and compliance committee meeting, Senior Counsel Assisting Michael Hodge told the Commission of an instance in which service fees were charged ...

Geoff Wilson appointed to 8IP board

KANIKA SOOD  |  WEDNESDAY, 11 APR 2018
... currently a member of PIMCO Australia's compliance committee. He is also a non-executive director and chair of the risk and compliance committee at payment platform Indue. Burns has acted as chief executive risk at AXA Australia, chief executive at EquipSuper ...

Australian Ethical Investment executive departs

JAMIE WILLIAMSON  |  MONDAY, 5 MAR 2018
... services to APRA and ASIC regulated entities. ST Consult was founded by former Australian Ethical Investment risk and compliance manager Simone Thompson in 2017.

Equipsuper appoints head of risk

KARREN VERGARA  |  FRIDAY, 2 MAR 2018
... and risk Natalie Alford, responsible for risk reporting to the chief executive, the board, and the audit, risk and compliance committee. She will also support the on-going development of Equip's risk management framework and would promote, oversee and ...

Equipsuper appoints head of member advisory

ALEX BURKE  |  MONDAY, 26 FEB 2018
... advisory. Paul Synhur was most recently Equipsuper's head of risk, having held previous roles in the fund's risk and compliance team. "In his previous roles, Paul has been closely involved with the member advice and financial planning teams," Equip executive ...

Australian Ethical underlying profit dips despite membership surge

ALEX BURKE  |  FRIDAY, 23 FEB 2018
... future, shareholders should expect an increase in staff expenses as part of increasing resources in operational, risk and compliance roles. The increase in membership over 1H18 contributed to group funds under management rising by 41% to $2.6 billion. ...

Board appointment at Westpac

KARREN VERGARA  |  WEDNESDAY, 7 FEB 2018
... who was a senior partner at KPMG, will serve as an independent non-executive director and a member of the risk and compliance, and audit committees effective March 7. Nash was nominated as a partner of KPMG Australia in 1993, and was national chair for ...

Thomson Reuters sells analytics business to institutional investors

DARREN SNYDER  |  FRIDAY, 2 FEB 2018
... professionals. It also provides regulatory and risk management solutions to help customers anticipate and manage risk and compliance. Blackstone senior managing director Martin Brand said the F&R division "has tremendous assets, including a world-leading ...

MGP flags global search for COO and head of product

ALEX BURKE  |  FRIDAY, 2 FEB 2018
... continues." In January, MGP appointed Richard Carr as business development manager and Craig Giffin as head of risk and compliance. Carr joined from Powerwrap, where he was head of sales across separately managed accounts, wrap and execution services. ...