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Showing 761 - 770 of 3479 results for "Compliance"

ASIC issues first DDO stop orders

JAMIE WILLIAMSON  |  THURSDAY, 28 JUL 2022
... in retail product distribution without a TMD for what is considered a high-risk offer. ASIC also made orders for non-compliance with DDO. "Under the law, firms must embed a consumer-centric approach. They need to design financial products that meet the ...

Aaron Santelises joins ART board

ANDREW MCKEAN  |  FRIDAY, 15 JUL 2022
... Union, responsible for advocating for members across a range of industries. He provides advice regarding governance and compliance. Since August 2021, Santelises has been a director of QLeave, the community services industry portable long service leave ...

$150m capital overlay no more for Allianz Australia

CHLOE WALKER  |  FRIDAY, 15 JUL 2022
... CEU, Allianz committed to rectifying its issues through a series of transformation programs related to risk maturity, compliance, conduct and culture. Satisfied that Allianz has now completed the transformation programs, APRA removed the remaining additional ...

Crypto lures executives despite ongoing uncertainty

CASSANDRA BALDINI  |  THURSDAY, 14 JUL 2022
... than 20% of the population banked. The report added that Binance has also been strategically growing its legal and compliance team to make its ambitions a reality. Meanwhile, the crypto market cap continues to move sideways, up 0.5% week over week as ...

Atrium welcomes new chief operating officer

CASSANDRA BALDINI  |  MONDAY, 11 JUL 2022
... Investments. In his new role, Harris will oversee Atrium's core operational functions including investment operations, compliance and product, as well as working with the group executive to form and drive overall strategy. He will work alongside chief ...

HUB24 names new Class chief executive

JAMIE WILLIAMSON  |  MONDAY, 11 JUL 2022
... focus on delivering great customer outcomes and enhancing Class's already market-leading SMSF documents and corporate compliance solutions," Alcock said. Steele joins as HUB24 prepares to launch a new SMSF product leveraging the expertise of all three ...

New chief executive at Industry Fund Services

JAMIE WILLIAMSON  |  FRIDAY, 8 JUL 2022
... and chief operating officer. It's a promotion for Baranyai, who was previously executive manager of legal, risk and compliance and company secretary. "With the significant structural and regulatory changes experienced in the industry over the past four ...

ASIC takes Lanterne Fund Services to court

ANDREW MCKEAN  |  THURSDAY, 7 JUL 2022
... issued civil penalty proceedings against wholesale licensee Lanterne Fund Services, saying it operated with almost no compliance staff or risk management processes. The regulator alleges that Lanterne has on multiple occasions failed to meet its obligations ...

UK regulator appoints Camille Blackburn to leadership team

CASSANDRA BALDINI  |  WEDNESDAY, 6 JUL 2022
... Blackburn will join the FCA in October from Legal & General Investment Management, where she is currently the global chief compliance officer, responsible for the company's global compliance framework and team. Closer to home, she is known for her time ...

MLC Life appoints chief risk officer

JAMIE WILLIAMSON  |  FRIDAY, 1 JUL 2022
... seasoned and experienced chief risk officer with a strong track record in driving innovation in risk management and compliance for some of Australia's largest financial services organisations. Her understanding of the issues impacting our sector ...