Search Results | Showing 381 - 390 of 3474 results for "Compliance" |
| | | ... and his "fundamental lack of competence" and "cavalier attitude" towards his managerial responsibilities and legal compliance, according to ASIC. UGC entered voluntary administration on July 5. One month later, UGC's creditors resolved to wind-up ... |
| | | | ... at BlackRock, most recently as a managing director and head of technology and transformation in the global legal and compliance division. She spent another 10 years at Artio Global Investors (formerly Julius Baer Investment Management), and before that ... |
| | | | ... to the schemes. ASIC intervened in the proceedings because it held concerns about ISG's financial, governance, and compliance positions. The regulator said some investors in the schemes also intervened, proposing that different receivers than those proposed ... |
| | | | ... conduct and can refer matters to ASIC," the regulator said. "ASIC also monitors the SMSF auditor population for non-compliance and is empowered to disqualify, suspend, cancel or impose additional conditions on the registration of SMSF auditors." |
| | | | HESTA has named a general manager, compliance, recruiting the head of risk and compliance from AMP's superannuation business. Tim Pietsch has taken on the role and brings extensive experience across the financial services sector to the fold. He joins ... |
| | | | ... Anti-Money Laundering (AML), Common Reporting Standard (CRS-FATCA), Client Classification, and Fee Consent to ensure compliance. The "next-generation Spectrum solution sets a new standard for private wealth management and reinforces the company's ... |
| | | | ... and what the new risks are. The opportunity is now for companies to start building strong foundations for regulatory compliance going forward," Butler-Beatty said. |
| | | | ... 21F-17(a) of the Securities Exchange Act of 1934. Florida-based GQG said in a statement: "GQG takes its regulatory compliance obligations very seriously. We appreciate the professionalism displayed by the SEC staff throughout this inquiry. We believe ... |
| | | | ... executive chair and adviser. Ward serves as chief executive, having joined Pitcher Partners in 2018 as head of risk, compliance, and operations, as well as serving as general manager. Levi is now chief operating officer, spending the last five years ... |
| | | | ... scheme. Early this year, the court found Daly improperly used his position, failed to take reasonable steps to ensure compliance, exercise reasonable care and diligence, and act in the best interests of members as an officer of Endeavour. Further, Daly ... |
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