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Showing 281 - 290 of 3470 results for "Compliance"

Coalition targets 'ambitious' goal of 30k advisers

ELIZA BAVIN  |  TUESDAY, 15 APR 2025
... Coalition government will rebuild the advice industry and make it a more attractive profession by reducing red tape and compliance costs to bring the number of advisers back to a sustainable level." Howarth said financial professionals are trusted members ...

GESB expands leadership team

JAMIE WILLIAMSON  |  MONDAY, 14 APR 2025
... including legal, secretariat and governance functions, information security, records and data management, risk and compliance, IT services, and people and culture. In a statement to Financial Standard, GESB said the creation of the new executive roles ...

Northern Trust survey reveals what's testing asset owners

ANDREW MCKEAN  |  MONDAY, 14 APR 2025
... Regulatory risks, risk budgeting and management, and operational risks followed, indicating a "heightened awareness" of compliance requirements and operational challenges that accompany "complex, diversified portfolios." To monitor these risk metrics ...

ASIC asks for input on reportable situations, IDR dashboards

JAMIE WILLIAMSON  |  THURSDAY, 10 APR 2025
... December, ASIC said licensees have some way to go in complying with the reportable situations regime. Reviewing the compliance arrangements of 14 licensees that had few or no situations reported between October 2021 and June 2024, ASIC found licensees ...

Three AFS licensees pinged over compliance breaches

ANDREW MCKEAN  |  WEDNESDAY, 9 APR 2025
... failure to register financial advisers may also indicate that licensees lack adequate governance arrangements to ensure compliance with the law. ASIC noted each penalised licensee promptly registered their adviser and reported the breach after becoming ...

Perpetual to build digital wholesale term deposit marketplace

JAMIE WILLIAMSON  |  TUESDAY, 8 APR 2025
... deposit market to operate more effectively, efficiently and economically, while managing cyber security and maintaining compliance." Perpetual Corporate Trust said it is looking to streamline and modernise the execution of these instruments, much like ...

New gig for Challenger's ESG specialist

ELIZABETH FRY  |  THURSDAY, 3 APR 2025
... particularly the management of ESG risks in their investment portfolios. O'Meara started her career as a risk and compliance analyst within the EY consulting practice before moving to the Pendal Group after three years. She joined Challenger as a ...

Pendal's Blayney lands at HESTA

ELIZABETH FRY  |  THURSDAY, 3 APR 2025
... team. His industry experience and proven ability to align cybersecurity with business objectives, while focusing on compliance and resilience, will be instrumental in further shaping our Information Security strategy."

APRA hits ANZ with $1bn capital penalty

ELIZA BAVIN  |  THURSDAY, 3 APR 2025
... non-financial risk management practices and risk culture. These include weaknesses in the bank's operational risk and compliance management and a reactive risk culture. APRA said it has been taking measures, through reviews and engagements with ANZ ...

iExtend appoints chief operating officer

ELIZA BAVIN  |  WEDNESDAY, 2 APR 2025
... appointed Michael Hull as chief operating officer with the aim to enhance its operational frameworks and to ensure compliance and regulatory standards continue to be delivered as the business grows. Hull brings a broad business background to the role ...