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Showing 691 - 700 of 3495 results for "compliance"

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.

NZ sovereign wealth fund, Northern Trust extend relationship

CHLOE WALKER  |  TUESDAY, 20 DEC 2022
... process earlier this year. Northern Trust will continue to provide the $58.7 billion super fund with global custody, compliance monitoring and securities lending services. Northern Trust Asset Management has separately provided investment management ...

ASIC takes civil action against Firstmac

CASSANDRA BALDINI  |  FRIDAY, 16 DEC 2022
... reducing the risk of harm to consumers caused by poor product design, distribution and marketing, especially by driving compliance with design and distribution obligations," concluded Court. ASIC is seeking declarations and pecuniary penalties from the ...

Regulators urge ASX to maintain CHESS

ANDREW MCKEAN  |  THURSDAY, 15 DEC 2022
... regulatory responses to ASX's recent decision and are prepared to bear a range of regulatory options to ensure compliance with CS facility licence obligations.

Future Fund subsidiaries set to receive tax exemption

ANDREW MCKEAN  |  THURSDAY, 15 DEC 2022
... to the dividends paid to it. Treasury explanatory materials said the current tax arrangements result in unnecessary compliance and administrative burdens for the Future Fund board and its subsidiaries. Further, the time delay between paying tax and receiving ...