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Showing 721 - 730 of 3495 results for "compliance"

Life after legalsuper: Proebstl

ELIZABETH FRY  |  FRIDAY, 11 NOV 2022
... services model for back-office functions." Proebstl noted that services that might fit such a model include regulatory/compliance, risk management, company secretariat, tax governance and optimisation, internal audit and cyber risk management. Services ...

ASIC issues more stop orders

CHLOE WALKER  |  THURSDAY, 10 NOV 2022
... due to disclosure concerns, and said it expects Finnia to consider the concerns raised and take steps to ensure TMD compliance. "Finnia will have an opportunity to make submissions before a decision is made about any final stop orders," it said. The ...

SMSF growth slows, allocations shift

CHLOE WALKER  |  WEDNESDAY, 9 NOV 2022
... increasing just 3.1% per annum. Despite these dampened metrics, Rainmaker Information executive director of research and compliance Alex Dunnin said that the SMSF segment is still a huge pool of capital, particularly for fund managers able to attract ...

The future of defined contribution asset allocation

ANDREW MCKEAN  |  MONDAY, 7 NOV 2022
... Security Act (ERISA) that holds the executive leadership of 401(k) sponsoring companies personally liable for fiduciary compliance, super schemes are more freely able to innovate based upon their best scientific, academic, and legal understanding, Mitchem ...

APRA slaps extra conditions on Insignia trustees

JAMIE WILLIAMSON  |  FRIDAY, 4 NOV 2022
... Insignia's trustees must enhance their governance in relation to member outcomes, oversight of service providers, risk, compliance and managing conflicts of interest. They must also appoint an independent expert to examine operational frameworks ...

QAR leaves insurance commissions alone

JAMIE WILLIAMSON  |  THURSDAY, 3 NOV 2022
... Commenting on the paper, MLC Life chief retail insurance officer Michael Rogers said: "Many years of changing laws and compliance requirements has resulted in financial advice becoming unnecessarily complex and as a result, expensive for consumers and ...

Another ban for Sirius Financial

CHLOE WALKER  |  THURSDAY, 3 NOV 2022
... determined that Bringans was a disinterested, disengaged responsible manager who did little more than attend monthly compliance committee meetings. Bringans' banning is recorded on ASIC's Banned and Disqualified Persons Register. While he has applied ...

Apex Group brings Global Compliance Solutions to Australia

CASSANDRA BALDINI  |  TUESDAY, 1 NOV 2022
Apex Group has launched its Global Compliance Solutions offering to the Australian market. The financial service provider said the agile, global single-source solution delivers efficiency, simplifies compliance, and enables business opportunities from ...

Breach reporting improvements needed: ASIC

JAMIE WILLIAMSON  |  FRIDAY, 28 OCT 2022
... less than anticipated and suggests some licensees don't have systems and processes in place to detect and report non-compliance. Further, ASIC said 82% of reports indicated customers were impacted. Of these, 23% indicated a financial loss to customers ...

Carrara Capital picks SS&C GlobeOp as fund administrator

CASSANDRA BALDINI  |  THURSDAY, 27 OCT 2022
... delivery of services, including fund administration, investor services, Australia tax management, and Foreign Account Tax Compliance Act (FACTA/CRS) reporting. The fund aims to generate consistent risk-adjusted returns investing across currencies, fixed ...