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Showing 2311 - 2320 of 3523 results for "compliance"

Independent advice licensee under ASIC radar

LAURA MILLAN  |  THURSDAY, 6 AUG 2015
... (ASIC). The regulator has imposed new licence conditions on Sentinel Private Wealth following concerns over the company's compliance. An independent review commissioned by Sentinel identified compliance issues, including having inadequate measures to ...

Advice licensee uses tech to bypass paraplanning

DARREN SNYDER  |  THURSDAY, 6 AUG 2015
... entire State Super Financial Services (SSFS) adviser network. Monaghan said some of the new features include real-time compliance checklists, retirement modelling tools, and a built-in management approval process where certain recommendations require ...

UniSuper appoints legal specialists

DARREN SNYDER  |  THURSDAY, 6 AUG 2015
... services for finance, operations, technology and projects, is Ruby Yadav. Yadav has previously led operational risk and compliance teams for retail products and digital banking, including roles at ANZ, KPMG and GE Capital. She also has non-executive ...

OneVue appoints two executives

ALEX BURKE  |  WEDNESDAY, 5 AUG 2015
... OneVue has made two senior appointments from Nikko Asset Management and BNP Paribas. Craig Giffin joins as head of compliance, legal and responsible entity services. Prior to OneVue, he held roles at Nikko Asset Management, Fortis Investments and ABN ...

FEATURE: Custody under review

DARREN SNYDER  |  MONDAY, 3 AUG 2015
... (LGS) re-appointing J.P. Morgan to provide services such as custody, fund accounting, unit pricing, performance and compliance reporting, passive currency overlay and unlisted asset administration. It extends a partnership that has lasted more than a ...

APRA workload for boards does not rate

DARREN SNYDER  |  FRIDAY, 31 JUL 2015
... APRA's activities, except from smaller institutions and mutuals, countered by universally low ratings for the cost of compliance." "Clearly, regulated institutions continued to support APRA's mission, prudential framework, its staff and its approach ...

Pay rises better at non-aligned firms

MARK SMITH  |  THURSDAY, 30 JUL 2015
... were being approached by competitors. Recruitment activity and a trend in remuneration increases were most notable in compliance/governance roles within advice businesses."

BetaShares appoints CIO

ALEX BURKE  |  THURSDAY, 30 JUL 2015
... has also held positions at J.P. Morgan and Dimensional Advisers. Furthermore, Matthew Reeves has joined BetaShares as compliance manager - he previously held the same role at ClearView Wealth - and Sarah Hare has been appointed marketing manager. Hare ...

Northern Trust appoints APAC head of investments

LAURA MILLAN  |  THURSDAY, 30 JUL 2015
... 13%," Mak said. "We see an increasing trend among sophisticated institutional investors in Asia-Pacific looking for compliance analyst services and performance solutions," Horsewill said.

Independent dealers in M&A mode

ALEX BURKE  |  MONDAY, 27 JUL 2015
... the sector," he said. Advice scandals, he continued, have also forced institutions to significantly increase their compliance activity, raising costs and making further expansion in the wealth management space unattractive: "There's never been such a ...