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Showing 401 - 410 of 3472 results for "Compliance"

Australians robbed of super savings

ANDREW MCKEAN  |  WEDNESDAY, 28 AUG 2024
... its recovery efforts and the amount returned to members. The SMC has urged the government to establish a stronger ATO compliance regime that includes setting and measuring the originally promised targets, and to commit to helping workers seek compensation ...

BUSSQ fights back against regulatory imposition

ANDREW MCKEAN  |  MONDAY, 26 AUG 2024
... on BUSSQ and Cbus earlier this month, requiring both funds to engage an independent expert to conduct a review their compliance with Prudential Standard SPS 520 Fit and Proper, as well as their adherence to the duty to act in the best financial interests ...

ASIC wins case against crypto exchange Kraken

ANDREW MCKEAN  |  MONDAY, 26 AUG 2024
... deputy chair Sarah Court said the outcome sends a "salient reminder to the crypto industry" about the importance of compliance with the design and distribution obligations. "It's a legal requirement for financial products to be distributed to consumers ...

Equity Trustees names chief risk officer

MATTHEW WAI  |  TUESDAY, 20 AUG 2024
... business after five years at the end of August. Versace arrives from HESTA, where she is currently the general manager of compliance and boasts a collage of executive experiences across the industry. Prior to HESTA, she was the head of enterprise risk ...

Recordkeeping breach costs RBC, BNY Mellon US$85m

KARREN VERGARA  |  FRIDAY, 16 AUG 2024
... ($8.3m). "As today's enforcement actions against more than two dozen firms reflect, we remain committed to ensuring compliance with the books and records requirements of the federal securities laws, which are essential to investor protection and ...

APRA reprimands Cbus, BUSSQ over governance issues

ANDREW MCKEAN  |  WEDNESDAY, 14 AUG 2024
... conditions stipulate that Cbus' trustee, United Super, and BUSSQ bring in an independent expert to investigate their compliance with Prudential Standard SPS 520 Fit and Proper, which sets out requirements in relation to assessing the fitness and ...

BHP, Rio Tinto, Qantas back carbon credits fund

JAMIE WILLIAMSON  |  MONDAY, 12 AUG 2024
... investors and carbon market participants who wish to complement existing decarbonisation efforts and meet regulatory compliance obligations, while also generating risk-weighted returns. It has already received $80 million from cornerstone investors BHP ...

ASIC intends to extend legislative instruments

MATTHEW WAI  |  FRIDAY, 9 AUG 2024
... by the licensee at all times. ASIC Instrument 2021/716 modifies the Corporations Act to exclude certain forms of non-compliance from being deemed "significant" breaches of core obligations of the act, while ASIC Instrument 2021/801 aims to enforce credit ...

BlackRock names Asia Pacific operations chief

JAMIE WILLIAMSON  |  THURSDAY, 8 AUG 2024
... Ueda as chief operating officer for its Asia Pacific business, succeeding James Raby who will become global head of compliance. Ueda has been with BlackRock since 2022 when she joined as head of corporate strategy and development for Asia Pacific. She ...

Family offices face more complex challenges: Ocorian

ANDREW MCKEAN  |  WEDNESDAY, 7 AUG 2024
... Family offices are becoming more professional, but they face significant challenges, particularly with regulation and compliance, according to an international study by Ocorian. The research from Ocorian revealed that of the approximately 300 family ...