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Showing 451 - 460 of 3495 results for "compliance"

ASIC calls out sloppy adviser data

KARREN VERGARA  |  MONDAY, 1 JUL 2024
... ensuring the contact details of their financial advisers are up to date. From August 1, ASIC said it will launch a compliance program to ensure that the information recorded on the FAR about approved qualifications is correct and will consider enforcement ...

FSC releases new standard on scam mitigation

ELIZA BAVIN  |  MONDAY, 1 JUL 2024
... to both internal and external dispute resolution forums. The Standard comes into effect today, July 1, for voluntary compliance, with full compliance required from 1 July 2026, which provides two years for superannuation funds to implement the necessary ...

ASIC takes action against Guildfords FM, director

KARREN VERGARA  |  FRIDAY, 28 JUN 2024
... involvement in the collapse of Magnolia Capital Group. ASIC found "significant and systemic failures of oversight and compliance" upon investigating Guildfords, which had an AFS Licence (AFSL) to provide advisory and dealing services with respect to ...

ASIC freezes assets of Melbourne based licensee

ELIZA BAVIN  |  THURSDAY, 27 JUN 2024
... with a financial institution (subject to limited exceptions). At a hearing on June 25, the court extended the time for compliance with some of the disclosure orders that had been made and adjourned the matter. United Global is an Australian financial ...

Early contributions boost retirement balances

ANDREW MCKEAN  |  FRIDAY, 21 JUN 2024
... that combines cutting-edge technology with traditional advice." Separately, earlier this week, the firm launched a compliance-led Statement of Advice (SoA) tool. Otivo said its SoA tool will reduce the time required for compliance checks, whilst also ...

Ascot Securities hit with infringement notice for 'serious failures'

ANDREW MCKEAN  |  THURSDAY, 20 JUN 2024
... fundamental to ensuring the integrity of our markets. The MDP found that there were significant deficiencies in Ascot's compliance with these requirements over a significant period," ASIC deputy chair Sarah Court said. The MDP deemed Ascot's entry of ...

ASIC calls out licensees: 'We will take action'

ELIZA BAVIN  |  THURSDAY, 20 JUN 2024
... industry event, Kirkland said the regulator has spent two years warning licensees to lift their game when it comes to compliance with the reportable situations regime, and from now on its focus will be on enforcement. "The regime has now been in effect ...

Platinum shutters London operations, UCITS funds

KARREN VERGARA  |  WEDNESDAY, 19 JUN 2024
... in November 2018. He was joined by Jonathan Ross-Russell, investor relations manager, and Lauren Wright, office and compliance manager. "We would like to thank clients, new and old (some since 1994), for their support as well as those who have listened ...

AFSLs undertake more reviews, lack risk documentation

KARREN VERGARA  |  TUESDAY, 18 JUN 2024
... reviews of their systems and processes but still lack documentation when it comes to managing risk, according to a new compliance survey. Holley Nethercote's 2024 Compliance Trends Survey reveals AFSLs are frequently conducting more internal reviews ...

Cbus recruits chief risk officer from Crown

KARREN VERGARA  |  TUESDAY, 18 JUN 2024
... Martha Georgiou joins the $90 billion superannuation fund after finishing up as group executive general manager of compliance and regulatory affairs at Crown. Prior to Crown, she spent nearly 20 years at major banks working in senior roles across risk ...

Editor's Choice

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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