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Showing 661 - 670 of 3479 results for "Compliance"

Wilsons Advisory fined $550k by ASIC MDP

JAMIE WILLIAMSON  |  FRIDAY, 3 FEB 2023
... should have had more robust risk management systems in place. That said, ASIC added that Wilsons had an otherwise sound compliance culture and acted swiftly once made aware of the issue, undertaking a thorough review of trading history and compiling ...

Prime Super's general manager of investments departs

ANDREW MCKEAN  |  THURSDAY, 2 FEB 2023
... greatest achievement at Prime Super was bolstering the processes and procedures, making the fund's security and compliance procedures watertight.

Spirit Super appoints chief risk officer

CASSANDRA BALDINI  |  FRIDAY, 27 JAN 2023
... Queensland and Westpac. "I'm pleased to have Will join our executive team to help me further enhance the risk and compliance culture at Spirit Super," Murray said. "We cannot achieve our strategic ambitions without our risk culture being exceptional ...

APRA slaps conditions on Diversa

JAMIE WILLIAMSON  |  TUESDAY, 24 JAN 2023
... designed to address concerns related to the adequacy of Diversa's resources to manage risks and meet regulatory and compliance obligations; heightened inherent business risks driven by the complex structure and operations of Diversa; and concerns ...

Perpetual, Pendal finalise merger

CASSANDRA BALDINI  |  MONDAY, 23 JAN 2023
... Christopher Jones to Perpetual's board will take effect tomorrow. Matthews will join the board's audit, risk and compliance committee, while Jones will join the board's people and remuneration committee, and both will also join the board's ...

Mixed outlook for paraplanning: Study

ANDREW MCKEAN  |  FRIDAY, 20 JAN 2023
... the advice process, including meetings, file notes, admin, chasing up information from clients and product providers, compliance with a licensee and navigating software. As such, the survey said that without addressing the entire advice process, removal ...

Managed accounts growth to continue: State Street

CASSANDRA BALDINI  |  THURSDAY, 19 JAN 2023
... in the last year alone. She says it all comes down to the benefits being realised in advice practices, like reduced compliance burden, transparent structures, and reduced operational risks. "Outside of that, what's coming to the forefront more recently ...

Spaceship reduces headcount, reorganises executive team

JAMIE WILLIAMSON  |  THURSDAY, 19 JAN 2023
... operating officer role as well, while Tom Kildea has been appointed chief risk officer following several years in the risk, compliance, and operations function. Meanwhile, senior portfolio manager Jason Sedawie has been appointed to the newly created ...

Paraplanners happy to stay put: Survey

ANDREW MCKEAN  |  THURSDAY, 19 JAN 2023
... between the financial planner and the client. They provide added value in the areas of licensee standards, regulatory compliance and technical competency. He said legally obligating CPD for paraplanners makes sense, as it would ensure a higher overall ...

AZ NGA appoints chief financial officer

CASSANDRA BALDINI  |  WEDNESDAY, 18 JAN 2023
... to more traditional chief financial officer duties like business planning, forecasting and management of finance and compliance activities." Heckendorf said his role encompassed four key areas: financial and regulatory reporting, strategy mergers and ...