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Showing 671 - 680 of 3495 results for "compliance"

Openmarkets secures chief financial officer

CASSANDRA BALDINI  |  TUESDAY, 28 FEB 2023
... anticipated M&A. Majithia brings 15 years of international experience in finance management, commercial strategy, and compliance, including in US listed markets. Most recently she worked at Mawson Infrastructure Group Inc as its chief financial officer ...

Diverger highlights M&A progress, pipeline

JAMIE WILLIAMSON  |  MONDAY, 27 FEB 2023
... million. Diverger said it's materially ahead of its run rate on the FY25 M&A target following the acquisitions of AFSL Compliance, Priority Networking, and 35% of McGregor Wealth Management in the period. This saw it acquire $4.1 million in revenue ...

Former Big Un chief charged with insider trading

CASSANDRA BALDINI  |  WEDNESDAY, 15 FEB 2023
... Graham Rothesay Swan also came under ASIC attention. Swan was convicted for failing to conduct the 2017 company audit in compliance with auditing standards. ASIC said its investigation concerning Big Un, and its officers and executives is ongoing.

Fiducian expands adviser base, increases FUA

KARREN VERGARA  |  MONDAY, 13 FEB 2023
... stating that the process "took longer than anticipated while we completed the required actions to ensure regulator compliance." PCCU contributed $5.4 million in annualised net revenue, which Fiducian said was lower than expected because of a decline ...

Mining company shares manipulator sentenced

JAMIE WILLIAMSON  |  TUESDAY, 7 FEB 2023
... shares with the purpose of inflating their price and encouraging additional investors to get involved. The judge noted: "Compliance with [the prohibition on market manipulation] is vital to maintain market integrity and promoting the confident and informed ...

Australian Unity recruits Vanguard veteran

ANDREW MCKEAN  |  TUESDAY, 7 FEB 2023
... capital markets. He'll also be responsible for the platform's information technology, project management, and operational compliance functions, Australian Unity said. McGavigan has over 35 years' experience in leading and developing global teams in financial ...

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 ...