Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 41 - 50 of 100+ results for "Compliance"

Funds valued illiquid asset correctly: ASIC

KARREN VERGARA  |  WEDNESDAY, 11 AUG 2021
... applicable. "REs should also ensure that the valuation practices in their policies are consistently reflected in their compliance plans and the policies reviewed regularly to ensure they remain adequate," the regulator said.

Roar launches interactive SOA tool

KARREN VERGARA  |  TUESDAY, 10 AUG 2021
... Roar chief executive Kevin Liao said DynamicDocs is designed to help advisers run more efficient practices, manage compliance obligations and build a scalable proposition for low account balance clients. "The latest round of COVID-19 restrictions highlight ...

Booming market for financial services jobs

ELIZABETH MCARTHUR  |  TUESDAY, 10 AUG 2021
... operations, ESG/responsible investment, client services & administration, data & performance analytics, marketing, and risk & compliance. Risk and compliance continues to be a market with plenty of job opportunities. "The current risk and compliance ...

Platform co-founder departs

ANNABELLE DICKSON  |  MONDAY, 9 AUG 2021
... known as WealthO2 in 2015. In 2016, WealthO2 launched WealthO2 MDA and WealthO2 Managed Accounts to bring automation to compliance, execution processing, broker data connectivity, rebalancing and performance analytics. WealthO2's chief distribution officer ...

Asendium partners with regtech

KARREN VERGARA  |  MONDAY, 9 AUG 2021
Financial advice technology solution provider Asendium has added a risk and compliance feature via a new partnership with Fourth Line. Fourth Line will help advisers deliver risk and compliance reviews as part of their document preparation. The integration ...

Bitcoin fund hires from IFM

ELIZABETH MCARTHUR  |  THURSDAY, 5 AUG 2021
Monochrome Asset Management has appointed Derek Vladimir Henningsen, as head of legal and compliance. He was most recently at IFM Investors as head of fund and mandate compliance. Henningsen has also worked at Bell Asset Management, the Australian Financial ...

Morningstar hires advice lead

ELIZABETH MCARTHUR  |  WEDNESDAY, 4 AUG 2021
... planning solutions - including financial planning software AdviserLogic, revenue management software PayLogic, its compliance and business management solutions for licensees, and risk profiling tool FinaMetrica. "Ivon brings over 20 years experience ...

Former Millennium3 representatives cop ban

KARREN VERGARA  |  TUESDAY, 3 AUG 2021
... to ensure that NCFS complied with financial services law; its representatives also failed to abide by Millennium3's compliance manual. Further, ASIC determined they did not supervise and monitor the practice or had a proper due diligence process when ...

News Corp grows Dow Jones with acquisition

ANNABELLE DICKSON  |  TUESDAY, 3 AUG 2021
... IHS Markit. OPIS will fold into Dow Jones' Professional Information Business (PIB) which includes Dow Jones Risk & Compliance, Dow Jones Newswires and Factiva. OPIS provides benchmark and reference pricing and news and analytics for the oil, natural ...

RI Advice failed oversight obligations: Court

KARREN VERGARA  |  MONDAY, 2 AUG 2021
... Commission. ASIC commenced proceedings against RI Advice and Doyle in October 2019, seeking declarations of contravention, compliance orders and penalties. The regulator at the time alleged that Doyle gave "cookie cutter" advice and RI Advice didn't ...