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Showing 11 - 20 of 98 results for "Whistleblower"

UniSuper enterprise risk lead departs

ELIZABETH FRY  |  MONDAY, 19 AUG 2024
UniSuper's head of enterprise risk has lost his job, following a restructuring of the risk function. Dennis Gentilin is a risk and governance professional with over 20 years experience in the banking, finance, consulting and superannuation industries. ...

ASIC, APRA provide FAR update

ELIZA BAVIN  |  FRIDAY, 12 JUL 2024
... management; technology management; training and monitoring of relevant representatives and staff; underwriting; and whistleblower policy and process. New information in the package also includes a joint ASIC and APRA letter summarising key issues raised ...

Committee calls for 'sick agency' ASIC to be split in half

JAMIE WILLIAMSON  |  THURSDAY, 4 JUL 2024
... corporations law. Under recommendation six, the committee has urged the government to look at amending the current whistleblower protections to include financial incentives for whistleblowers who make a "substantiated disclosure" and where addressing ...

Financial advice profession 'lacks consistent protocols'

ELIZA BAVIN  |  TUESDAY, 25 JUN 2024
... advice profession "lacks consistent protocols" for handling suspected financial abuse and there are insufficient whistleblower protections, according to the Financial Advice Association Australia (FAAA). In its submission to the Parliamentary Joint Committee ...

Sexism in the City: UK financial sector slammed

JAMIE WILLIAMSON  |  WEDNESDAY, 13 MAR 2024
The "shocking" prevalence of sexism and misogyny in the UK's financial services sector has led a government committee to recommend a raft of reforms. On International Women's Day, the UK government's Treasury Committee released Sexism in ...

J.P. Morgan pays US$18m over whistleblower rule breaches

JAMIE WILLIAMSON  |  WEDNESDAY, 17 JAN 2024
... regulator. The SEC found J.P. Morgan Securities breached Rule 21F-17 (a) of the Securities Exchange Act of 1934, a whistleblower protection that prohibits attempts to impede individuals communicating with the SEC about possible securities law violations. ...

Treasury consults on PwC-linked reforms

CASSANDRA BALDINI  |  WEDNESDAY, 20 SEP 2023
... advisers, including but not limited to confidentiality breaches, to professional associations for disciplinary action. Whistleblower reforms will also be extended, to protect persons who wish to disclose alleged misconduct to the TPB, the government ...

Government cracks down following PwC scandal

CASSANDRA BALDINI  |  TUESDAY, 8 AUG 2023
Tax agents found evading laws could face over $780 million in penalties following the ongoing fallout of the PwC scandal. In what's being called the biggest crackdown on tax agent misconduct in Australian history, the government has bumped up fines ...

ASIC calls for stronger whistleblowing policies

ANNABELLE DICKSON  |  THURSDAY, 14 OCT 2021
... superannuation funds to ensure their whistleblowing policies are compliant. The letter comes after ASIC reviewed a sample of whistleblower policies and was concerned they did not address the relevant requirements, leaving whistleblowers unaware of their ...

Super fund whistleblower policies lacking: ASIC

KANIKA SOOD  |  THURSDAY, 20 MAY 2021
ASIC says superannuation funds' whistleblower policies are missing key information, including how whistleblowers can protect themselves, and should be published widely. Speaking at the Conference of Major Superannuation Funds in Adelaide on May 20 ...