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Showing 341 - 350 of 3472 results for "Compliance"

Crypto operator to fork out millions after court ruling

ANDREW MCKEAN  |  FRIDAY, 13 DEC 2024
... the requirement of the DDO regime," adding that "the failure to consider the matter points to a seriously deficient compliance system." He also pointed out that Bit Trade continued offering the product, despite knowing or having ought to have known ...

ART beefs up analytics team

ELIZABETH FRY  |  THURSDAY, 12 DEC 2024
... First State's chief risk officer landed at ART in the same role. Daryl Burke will lead the fund's risk and compliance division, which drives its governance capability. He brings over 25 years of risk and governance experience, having worked at ...

AMP nabs Mercer wealth manager

ELIZABETH FRY  |  THURSDAY, 12 DEC 2024
... customer solutions that differentiate AMP Super and AMP Investments. Reece came on board as general manager of risk, compliance, and policy. Allmey is one of several investment professionals who moved from BT to Mercer Australia as part of the sale of ...

Morningstar hires research manager for super

ELIZABETH FRY  |  THURSDAY, 12 DEC 2024
... appointment comes as Morningstar Australasia and SuperAPI have announced a strategic alliance to automate payday super compliance for employers.

Australian Retirement Trust appoints new chief risk officer

ANDREW MCKEAN  |  FRIDAY, 6 DEC 2024
... officer, Darryl Burke, was previously with Colonial First State in the same role. Burke will lead ART's risk and compliance division, which the fund underscored as critical to its governance capability. Burke brings more than 25 years of risk and ...

HESTA names general manager of retirement

MATTHEW WAI  |  FRIDAY, 6 DEC 2024
... fund's retirement function and cater to members' retirement needs. She will also be responsible for ensuring HESTA's compliance with industry standards and regulatory obligations, the fund said. O'Shea has worked in superannuation and financial services ...

More work to do on reportable situations compliance, ASIC says

JAMIE WILLIAMSON  |  WEDNESDAY, 4 DEC 2024
Licensees are generally slow to report to ASIC because of deficient internal processes and poor monitoring of compliance with the reportable situations regime, a review found. Recent surveillance by ASIC found financial services and credit licensees ...

Trustees, advisers have 'insufficient focus' on performance

ELIZA BAVIN  |  WEDNESDAY, 4 DEC 2024
... underperforming option," Kirkland said. "These deficiencies were a major factor in the advisers failing to demonstrate compliance with the best interests duty and appropriate advice obligations - and raised concerns about the clients suffering detriment." ...

Half of advice, super complaints result in no remedy

ELIZA BAVIN  |  WEDNESDAY, 4 DEC 2024
... Kirkland said ASIC is closely examining the standard of IDR reporting and undertaking a range of activities to strengthen compliance with the regime. "Where we become aware of problems, we will engage with firms to understand the causes, and whether ...

MSC Trustees names general manager

ELIZABETH FRY  |  MONDAY, 2 DEC 2024
... infrastructure across both our trustee and custody businesses, covering technology support across asset management, CRM and compliance," he added. "We look forward to our entire team and clients benefitting from our investment in our custody business ...