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Showing 591 - 600 of 3478 results for "Compliance"

Regulators begin FAR consultation

CHLOE WALKER  |  THURSDAY, 20 JUL 2023
... list of data items and the ADI key functions, the proposed list of data items within the draft transitional rules, the compliance impact of the proposed change, and any other substantive costs associated with the changes. The consultation will be open ...

Wealth management ecosystem at critical inflection point: Citi

ANDREW MCKEAN  |  THURSDAY, 20 JUL 2023
The wealth management sector is at a critical juncture, confronting declining fees and escalating compliance costs, according to Citigroup research. Accordingly, the Citi Disruption and Transformation in Wealth report suggested a need for wealth managers ...

ASIC slaps interim stop order on ClearView

KARREN VERGARA  |  WEDNESDAY, 19 JUL 2023
... said it expects Clearview Life to consider the concerns raised regarding the TMD and take immediate steps to ensure compliance. The regulator will then consider making a final order if the concerns are not addressed in a timely manner. Clearview Life ...

InvestSense welcomes distribution lead

CHLOE WALKER  |  WEDNESDAY, 19 JUL 2023
... in their client portfolios. "Financial advisers are increasingly seeking investment solutions that not only fulfill compliance obligations but also energise their clients' portfolios," he said. "Managed account structures allow for swift portfolio ...

ACCC publishes draft guidance on greenwashing

RACHEL ALEMBAKIS  |  FRIDAY, 14 JUL 2023
... impression Be direct and open about your sustainability transition In the draft guidance, ACCC also outlined their compliance and enforcement approach when it comes to greenwashing, which includes considerations of whether "genuine efforts and appropriate ...

Praemium hires governance, risk chief

JAMIE WILLIAMSON  |  WEDNESDAY, 12 JUL 2023
... Rachel Axton will join Praemium later this month as chief governance and risk officer. She will oversee risk management, compliance, company secretarial, legal, outsourcing and supplier management. Axton was most recently interim chief risk officer at ...

NGS Super continues leadership shake-up

ANDREW MCKEAN  |  WEDNESDAY, 12 JUL 2023
... Current chief strategy officer Ben Facer will assume the newly created deputy chief executive role and experienced compliance executive Phillipa Minney was appointed chief risk officer and head of corporate services. "Ben and Philippa's contribution ...

Advice firm revenues jump 45%

KARREN VERGARA  |  WEDNESDAY, 12 JUL 2023
... accessible for more people. However, advisers could do better in using technology to help meet their regulatory and compliance responsibilities, he said. "Around half of advice practices surveyed are still maintaining a manual complaint and breach register ...

AZ NGA welcomes head of M&A

CASSANDRA BALDINI  |  MONDAY, 10 JUL 2023
... high calibre team, and I am excited about the opportunity to join this dynamic business to lead the legal, risk and compliance, and governance function as well as provide some support in operational areas," Symes said. "In the current environment, it ...

Adviser demand up as industry turns corner: Recruiter

KARREN VERGARA  |  FRIDAY, 7 JUL 2023
... is $140,000-$150,000 plus bonus for achieving client retention and revenue targets, plus gateway measures (such as compliance, audit, PD, teamwork etc.). Employers are increasingly willing to structure advisers' overall earnings linked to the financial ...