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Showing 581 - 590 of 3479 results for "Compliance"

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 ...

AustralianSuper grows global team with numerous hires

ANDREW MCKEAN  |  TUESDAY, 1 AUG 2023
... Manfield's experience includes stints at Janus Henderson, BlueBay Asset Management, and Schroders. He oversees risk and compliance for AustralianSuper's international offices. Mitchell, after 16 years at Macquarie Group, will offer strategic ...

FinClear buys cash investment platform

JAMIE WILLIAMSON  |  TUESDAY, 1 AUG 2023
... selection of cash investment products and provides automated price discovery, portfolio optimisation, administration, and compliance services to meet regulatory and risk management needs. It also operated the Wealth Cash Income Fund, a term deposit managed ...

Advice from Shartru failed best interests duty, ASIC says

JAMIE WILLIAMSON  |  MONDAY, 31 JUL 2023
... South Wales' Lake Macquarie, is home to about 45 financial advisers and has been operating since 2012. It added a compliance manager in January of this year, followed by a risk and compliance manager in April. "AFS licensees are responsible for ensuring ...

Advisers lacking PII sidestep AFCA rulings

KARREN VERGARA  |  FRIDAY, 28 JUL 2023
... indemnity insurance (PII). Out of 5400 decisions AFCA delivered in the 2023 financial year, there were 40 instances of non-compliance. While this is not a high portion, more worrying is that the instances are prevalent in financial advice, AFCA lead ...

Industry grapples with looming cyber threats

CHLOE WALKER  |  THURSDAY, 27 JUL 2023
... their cyber resilience compares to their peers. Meanwhile, APRA is assessing more than 300 of its regulated entities' compliance with CPS 234 Information Security. So far, 24% of entities have been reviewed, finding several concerning gaps including ...

Credit Suisse fined $575m by regulators

CASSANDRA BALDINI  |  TUESDAY, 25 JUL 2023
... staff members following the hit, including former investment bank chief executive Brian Chin and former chief risk and compliance officer Lara Warner. Last October, Credit Suisse restructured and cut thousands of jobs, including former chief executive ...

ASIC sues Vanguard for greenwash in bond fund

RACHEL ALEMBAKIS  |  TUESDAY, 25 JUL 2023
... offerings" and strengthened capabilities through the appointment of Sybil Dixon as head of ESG product and additional compliance and product resourcing in the product disclosure and oversight teams and enhancements to the disclosure due diligence process ...

Super sector falling behind in cyber security: Podcast

CASSANDRA BALDINI  |  MONDAY, 24 JUL 2023
... So, in that process, it has been easy to dilute the cybersecurity controls" The days when cybersecurity was simply a compliance tick are over, he added, with super funds cracking down now more than ever following multiple global data breaches. Rao said ...

ASIC continues to reprimand SMSF auditors

CHLOE WALKER  |  MONDAY, 24 JUL 2023
... association of the conditions. Additionally, 413 SMSF auditors have had their licences cancelled as part of ASIC's recent compliance program. According to ASIC commissioner Danielle Press, in the last year ASIC has acted against 26 SMSF auditors who ...