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Showing 411 - 420 of 3474 results for "Compliance"

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 ...

Former wealth management chief ousted from financial services

ANDREW MCKEAN  |  FRIDAY, 2 AUG 2024
... and his "fundamental lack of competence" and "cavalier attitude" towards his managerial responsibilities and legal compliance. ASIC also noted that he'd created a culture of non-compliance and incompetence at the firm. Despite Hewish's ban being recorded ...

AMP Super trustee has additional licence conditions removed

ANDREW MCKEAN  |  FRIDAY, 2 AUG 2024
... issued directions and additional licence conditions by APRA in 2019 to address "a range of concerns" regarding its compliance. APRA previously said the action arose from issues identified during its ongoing prudential supervision of AMP Super, along ...

AMP product chief jumps to Perpetual

ELIZABETH FRY  |  FRIDAY, 26 JUL 2024
... has all but retired from the industry, Having finished up at Perpetual, she has joined Pinnacle fund services' compliance committee on a part-time basis. It is understood she flagged her intention to retire late last year giving Perpetual plenty ...

SMSFs thrive amid ATO compliance complications

MATTHEW WAI  |  THURSDAY, 25 JUL 2024
... advisers and accountants, stating that the ongoing changes to ATO processes have proven to be relatively challenging. "Compliance with the ATO's event-based reporting is emerging as a new challenge, cited as the number one reason for windups and mentioned ...

Remediation professionals told to temper expectations

ELIZA BAVIN  |  WEDNESDAY, 24 JUL 2024
Remediation projects winding up at major firms has created a lot of competition in the job market for wealth compliance and risk candidates, according to a recent Kaizen Recruitment report. The past financial year has seen considerable changes in the ...

Insignia Financial flags more remediation ahead

JAMIE WILLIAMSON  |  MONDAY, 22 JUL 2024
... take up a further provision to address a significant increase in remediation for legacy quality of advice and product compliance issues," Insignia Financial chief executive Scott Hartley said. "We acknowledge the impact these historic remediation programs ...

OnePath Custodians fined $11m for MySuper failures

JAMIE WILLIAMSON  |  MONDAY, 22 JUL 2024
... standard of governance and risk management. "We expect trustees to adhere to the law and to have robust governance, compliance and risk management frameworks embedded and operationalised to prevent, detect and swiftly remediate potential breaches of ...

Industry funds defend CFMEU board ties

ANDREW MCKEAN  |  FRIDAY, 19 JUL 2024
... expertise to temporarily mitigate scrutiny and maintain fund integrity. This approach could help ease tensions and ensure compliance with regulatory standards while broader issues are resolved. Separately, Super Consumers Australia director Xavier O'Halloran ...