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Showing 671 - 680 of 3479 results for "Compliance"

Future looking bright for advice: Survey

CHLOE WALKER  |  TUESDAY, 17 JAN 2023
... services 173 households, as opposed to 122 households at other local firms. While the analysis found that managing compliance and regulatory changes remains a major operational challenge for local advice firms - more so than their global counterparts ...

Apex Group wins fund admin mandate

CASSANDRA BALDINI  |  TUESDAY, 17 JAN 2023
Apex Group has been picked by Capital Prudential to provide fund administration, loan administration and compliance services to one of the non-bank financial institution's offerings. In supporting the Capital Prudential Real Estate Master Trust ...

ASIC commissioner to join Vanguard

JAMIE WILLIAMSON  |  TUESDAY, 17 JAN 2023
ASIC commissioner Sean Hughes is set to lead Vanguard Australia's legal and compliance function. Hughes was due to end his five-year term in December but will now finish up on February 3. "We are grateful for the contribution Sean has made to ASIC ...

Talaria appoints chief operating officer

ANDREW MCKEAN  |  MONDAY, 16 JAN 2023
... services experience across a range of sectors, with roles covering operational management, strategy, risk management, compliance and audit, Elizabeth will be a great asset to the Talaria team," Mead said. Last year, as previously reported by Financial ...

AAT upholds AFSL cancellation

CHLOE WALKER  |  THURSDAY, 12 JAN 2023
... stated these "problems went undetected, or ignored, over a long period partly because of serious shortcomings in the compliance arrangements and complaints handling process" and that this "bad behaviour went on under the noses of senior managers who ...

Adviser salaries to jump in 2023: Experts

CASSANDRA BALDINI  |  WEDNESDAY, 11 JAN 2023
... There are challenges for prospective employees to consider though, he said. "An issue we're seeing is around the compliance checks in relation to licensee checks. This will happen towards the end of a process where advisers check across compliance ...

FSC releases claims handling standard for super funds

ANDREW MCKEAN  |  TUESDAY, 10 JAN 2023
... Trustees and Vanguard Investments fall under this umbrella. As of January 1, the standard commenced on a voluntary compliance basis; full mandatory compliance will start July 1 in line with the new Life Insurance Code of Practice. The FSC said the new ...

Regulator issues interim stop orders

JAMIE WILLIAMSON  |  MONDAY, 9 JAN 2023
... regulator said. "ASIC expects Vasco to consider the concerns raised regarding the TMD and take immediate steps to ensure compliance. ASIC will consider making a final order if the concerns are not addressed in a timely manner. Vasco will have an opportunity ...

First Sentier hires chief risk officer

CASSANDRA BALDINI  |  MONDAY, 9 JAN 2023
... almost six years at Aegon Asset Management (Aegon). Most recently at Aegon she held the role global chief risk and compliance officer and was responsible for leading a team of 85 across Europe, Asia and the US while overseeing portfolio risk management ...

AAT overturns ban on former Spaceship chair

CHLOE WALKER  |  MONDAY, 9 JAN 2023
... dishonestly obtained his Australian Institute of Company Directors qualification by having a subordinate employee - a compliance officer - complete his assessments without his involvement.