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Showing 461 - 470 of 3495 results for "compliance"

Will ASIC use AI for advice compliance monitoring?

ANDREW MCKEAN  |  MONDAY, 17 JUN 2024
... applications in the financial advice industry has led to a prediction that ASIC could soon incorporate AI into its compliance and audit checks of advisers. Financial technology firm Padua envisions a future where AI could be used to check if advice firms ...

Vale Garry Wyatt

KARREN VERGARA  |  MONDAY, 17 JUN 2024
... during his 47-year career. His experience includes financial control, project management, operational line management, compliance, internal audit, and business and strategic planning. Wyatt co-founded Insync with chief investment officer Monik Kotecha ...

Apex, ACA partner to broaden client services

ANDREW MCKEAN  |  FRIDAY, 14 JUN 2024
... client outcomes. "This partnership with ACA compliments our service offerings by adding additional governance, risk, and compliance capabilities to our customers in the UK and Americas," Apex Group global head of product, compliance solutions Jude Hilton ...

APRA updates industry on operational resilience guidance

ELIZA BAVIN  |  FRIDAY, 14 JUN 2024
... disruptions. By amending the accompanying guidance, we aim to keep industry standards high while also being mindful of the compliance burden on smaller entities so they can remain competitive." APRA said it expects entities to start with the identification ...

ASIC issues first stop order for crowd funding

ELIZA BAVIN  |  THURSDAY, 13 JUN 2024
... issuers and intermediaries were adhering to the legislative requirements of the CSF regime. "ASIC will actively enforce compliance with the CSF framework and will exercise its stop order powers or take enforcement action if necessary to address any breaches," ...

GST rebate changes worsens cost of advice: SMSFA

KARREN VERGARA  |  TUESDAY, 11 JUN 2024
... supported by multiple private binding rulings." The association is also calling on ASIC to join the ATO on its "no-compliance approach." "Noting the transitional period should be extended beyond June 30 to provide certainty and clarity, as both product ...

Super leaders take out King's Birthday honours

ELIZABETH FRY  |  TUESDAY, 11 JUN 2024
... UniSuper board in 2015. In that time, she has been chair of the insurance committee and chair of the audit, risk and compliance committee. "Nicolette is a highly respected leader and author in superannuation policy, retirement, and gender diversity," ...

NZ Super awards mandate to Northern Trust

ANDREW MCKEAN  |  THURSDAY, 6 JUN 2024
... technology. Northern Trust has been working with the NZ Super Fund since 2007, initially offering global custody and compliance monitoring services, and later adding securities lending in 2019. Northern Trust Asset Management has also been managing investments ...

Australian Unity lashed by ASIC over TMD questionnaire

JAMIE WILLIAMSON  |  THURSDAY, 6 JUN 2024
... mortgage loan for property developments. ASIC said Australian Unity relied on a flawed questionnaire as a key step for compliance with its obligations when dealing with retail clients who have not received financial advice. "The questions and response ...

Block Earner dodges massive fine

KARREN VERGARA  |  WEDNESDAY, 5 JUN 2024
... managed investment scheme or an investment facility." Karaboga also sought advice from the company's head of risk and compliance and received legal advice from Gilbert & Tobin before launching the Earner product. Judge Jackman also argued that Block ...

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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