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Showing 681 - 690 of 3495 results for "compliance"

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 ...

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 ...

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 ...

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 ...

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 ...