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Showing 611 - 620 of 3495 results for "compliance"

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ACCC publishes draft guidance on greenwashing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 impression Be direct and open about your sustainability transition In the draft guidance, ACCC also outlined their compliance and enforcement approach when it comes to greenwashing, which includes considerations of whether "genuine efforts and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 ...

Maple-Brown Abbott names risk chief

ELIZABETH FRY  |  FRIDAY, 7 JUL 2023
First Sentier Investors' global head of financial crime compliance has jumped to Maple-Brown Abbott as chief risk officer and company secretary. Helen Birrell will replace Lata McNulty, who will leave the firm after an orderly handover later this ...

Openmarkets hit with largest ever MDP penalty

ANDREW MCKEAN  |  THURSDAY, 6 JUL 2023
... trading. Subsequently, the regulator found that Openmarkets didn't have appropriate supervisory procedures to ensure compliance with requirements under the market integrity rules dealing with suspicious trading. The wholesale broker also had insufficient ...

Institutions must raise the bar on cybersecurity resilience: APRA

CASSANDRA BALDINI  |  THURSDAY, 6 JUL 2023
Insights from APRA expose a lack of compliance with cybersecurity obligations is leaving hundreds of institutions open to financial crime. The regulator plans to have assessed more than 300 banks, insurers and super trustees' compliance with CPS 234 ...