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Showing 571 - 580 of 3478 results for "Compliance"

Diverger aims to increase profits via scalability

CASSANDRA BALDINI  |  THURSDAY, 24 AUG 2023
... increase by 2025 it said several actions were taken over the 2023 fiscal year which includes the acquisition of AFSLC Compliance and Priority Networking. Further, it established the advice equity partnership model, completing two investments into McGregor ...

DB Results launches policy admin system

CHLOE WALKER  |  MONDAY, 21 AUG 2023
... financial services sector lead Matt Nidd, the PAS ecosystem is an "innovative, secure, modern ecosystem, streamlining compliance, supporting real-time transactions, and enhancing customer experience and automation." Nidd added there's a clear industry ...

ASIC renews leadership team

CHLOE WALKER  |  FRIDAY, 18 AUG 2023
The corporate regulator has made several executive changes within its enforcement and compliance, regulation and supervision and markets group teams. ASIC's current senior executive leader, investigations Chris Rowe has been promoted to the role of ...

Fiducian eyes IFAs, South Australia for inflows

KARREN VERGARA  |  MONDAY, 14 AUG 2023
... appreciate the many benefits of the Fiducian compliant process for clients". "Fiducian expects the highest level of compliance and client service from its financial planning network. It is possible, that we may have one of the highest supervisory management ...

ASX-listed firms partner for financial education

KARREN VERGARA  |  FRIDAY, 11 AUG 2023
... it is difficult to apply to your own specific circumstances. Financial advisers fill that gap but rising costs and compliance have taken this option away from many people." According to ASIC estimates, some 33% of young Australians listen to finfluencers ...

Wall Street firms slugged $442m for recordkeeping breach

KARREN VERGARA  |  WEDNESDAY, 9 AUG 2023
... know that other SEC-regulated entities have committed similar violations, and so our work to enforce industry-wide compliance continues," Wadhwa said. As part of the crackdown on maintaining proper recordkeeping, the Commodity Futures Trading Commission ...

Sequoia hires chief operating officer

JAMIE WILLIAMSON  |  TUESDAY, 8 AUG 2023
... within Sequoia's Licensee Services Division," the group said. Finally, Mark Hutchinson has been appointed senior compliance manager, effective August 21. He also brings more than 30 years' experience, most notably serving in ASIC's assessment ...

Treasury kicks off managed investment scheme reforms

KARREN VERGARA  |  TUESDAY, 8 AUG 2023
... as the review proposes they should be "legislatively required to meet minimum qualitative standards when conducting compliance plan audits". For managed investment schemes that hold real property, the fact that they are subject to dual jurisdictions ...

eToro sued by ASIC

ANDREW MCKEAN  |  THURSDAY, 3 AUG 2023
... and 14 June 2023, almost 20,000 eToro clients lost money trading CFDs. "ASIC is disappointed by the alleged lack of compliance in this case, given eToro's market penetration and the depth of its brand awareness, both in Australia and globally," Court ...

HUB24 unveils new data feeds

CHLOE WALKER  |  WEDNESDAY, 2 AUG 2023
... enabling them to use consistent language that their clients understand across multiple documents, which also supports compliance processes." The upgrades follow in a long line of recent developments for HUB24. In May, HUB24 agreed to buy finance app ...