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Showing 411 - 420 of 3495 results for "compliance"

Court rejects Linchpin director appeal

KARREN VERGARA | WEDNESDAY, 25 SEP 2024

... 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 ...

Lack of talent challenging DDO compliance

JAMIE WILLIAMSON | MONDAY, 23 SEP 2024

The regulator's recent crackdown on risk and compliance in the sector has product issuers stuck between a rock and a hard place, with an extreme dearth of talent making it difficult for fund managers and super funds to meet ASIC's expectations. Earlier ...

Powerhouse Ventures to acquire Aliwa

KARREN VERGARA | FRIDAY, 20 SEP 2024

... advisory activities. Informed Investor is also up for a relaunch. "The AFSL entity is a profitable entity with experienced compliance operatives. It currently has a number of existing Corporate Authorised Representative (CAR) agreements with existing ...

Macquarie cops US$80m from SEC

KARREN VERGARA | FRIDAY, 20 SEP 2024

... of US$70 million and prejudgment interest of US$9.8 million. MIMBT also agreed to undertakings, such as retaining a compliance consultant to conduct a review of its policies and procedures relating to, among other things, valuation of CMOs and associated ...

Payday Super penalties ramped up ahead of legislation

JAMIE WILLIAMSON | WEDNESDAY, 18 SEP 2024

... proposed framework today, the government outlined further details it plans to include in legislation to incentivise compliance and ensure employees are fairly compensated when super payments are delayed. From 1 July 2026, employers will be required to ...

Scams prevention framework consultation released

ELIZA BAVIN | MONDAY, 16 SEP 2024

... exploit. The framework drives action against scams through strong obligations. It includes tough penalties for non-compliance and dispute resolution pathways for consumers to seek redress. Under the framework the Minister for Financial Services can designate ...

Northern Trust expands fixed income trading capability

ANDREW MCKEAN | THURSDAY, 12 SEP 2024

... trading locations. "ITS helps asset owners and asset managers to meaningfully lower costs, reduce risk, manage regulatory compliance, and enhance transparency and operational efficiency," Northern Trust said. The addition of ITS expands Northern Trust's ...

ASIC issues warning over shoddy DDO practices

JAMIE WILLIAMSON | TUESDAY, 10 SEP 2024

... performance, while others are relying too much on consumers to self-certify they fit a target market, an ASIC review into compliance with design and distribution obligations (DDO) shows. The regulator is calling on product issuers to ensure their distribution ...

AMP hires GM risk, compliance

KARREN VERGARA | FRIDAY, 6 SEP 2024

AMP has appointed a new general manager of risk, compliance, and policy who recently finished up at ClearView. Cloe Reece joined the wealth manager this month after spending more than two years as ClearView's chief risk officer, where she led the ...

Consultation begins on new merger notification thresholds

ANDREW MCKEAN | MONDAY, 2 SEP 2024

... designed to ensure the ACCC is informed of mergers most likely to be anti-competitive, while minimising the overall compliance burden on businesses. The new rules will trigger mandatory notification requirements if mergers meet one of two monetary thresholds ...

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Mercer Super chief executive steps down

RIDDHIMA TALWANI

Mercer Super chief executive Claire Ross is departing after almost 17 years in senior leadership roles at the retail super fund.

AusFood Super looks to revitalise member engagement

MATTHEW WAI

The $3.5 billion super fund has partnered with InvestStream to launch RetireSmart+, becoming the first super fund to bring an AI-powered engagement experience to some 66,000 members.

L1 Group posts 'marked recovery' in June quarter

RIDDHIMA TALWANI

L1 Group has reported a marked recovery in investment performance in the June quarter.

European PE firm mandates Apostle with Australian distribution

RIDDHIMA TALWANI

Apostle Fund Management has been appointed by European investment firm Triton Partners for the distribution of its credit strategies in Australia and New Zealand.

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