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Showing 601 - 610 of 3495 results for "compliance"

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 ...

NGS Super expands leadership

ELIZABETH FRY  |  FRIDAY, 21 JUL 2023
... workers in the independent education and community sectors. According to Alex Dunnin, executive director of research and compliance at Rainmaker Information, Australia's super fund marketplace is now so concentrated that the biggest 20 hold a whopping ...

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 ...

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 Funds 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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