Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 761 - 770 of 3495 results for "compliance"

Hostplus expands Industry Fund Services mandate

JAMIE WILLIAMSON  |  MONDAY, 29 AUG 2022
... thorough and applied knowledge of Hostplus' advice model," Watson said. "IFS also has well-considered and applied risk and compliance competencies, and its shared vision and support for many of our key strategic advice objectives will assist in delivering ...

Adviser standards consultation commences

JAMIE WILLIAMSON  |  THURSDAY, 25 AUG 2022
... conduct has resulted in adverse findings against their licensee by the Australian Financial Complaints Authority; CPD compliance; and action taken by professional associations. "It is proposed that isolated incidences of minor misconduct would not be ...

ASIC highlights strategic priorities

CASSANDRA BALDINI  |  TUESDAY, 23 AUG 2022
... surveillance of internal dispute resolution practices by analysing data and reviewing complaint responses, to assess trustees' compliance with new enforceable standards. As well as review trustees' implementation of the Retirement Income Covenant and ...

MSC Trustees adds to board

JAMIE WILLIAMSON  |  MONDAY, 15 AUG 2022
... in-house roles at Future Super, Qualitas, K2 Asset Management and IFM Investors. She has previously held senior risk and compliance roles at a range of listed and unlisted trustees. Meanwhile, O'Connell brings more than 30 years' experience across life ...

Competition for adviser relationships fierce: Report

ANDREW MCKEAN  |  MONDAY, 15 AUG 2022
... Standard, advice firms are planning to increase their practice's annual spend on technology by $70,000 as affordability and compliance issues drive adoption. What's more, most advisers (65%) considered the compliance burden to be the biggest challenge ...

Equity Trustees non-executive director retires

CHLOE WALKER  |  FRIDAY, 12 AUG 2022
... the EQT Holdings board in 2010, O'Donnell has served in several roles including chair of the responsible entity compliance committee and member of the board risk committee and remuneration, human resources and nomination committee. On behalf of the ...

ASIC working to improve breach reporting regime

JAMIE WILLIAMSON  |  WEDNESDAY, 10 AUG 2022
... will continue to engage with industry on reporting practices to further understand issues that are placing unnecessary compliance burden on businesses. "ASIC will communicate clear expectations for compliance with the new regime and design solutions ...

Advice firms to spend $70k more on technology: Report

JAMIE WILLIAMSON  |  WEDNESDAY, 10 AUG 2022
... Financial advisers plan to increase their practice's annual spend on technology by $70,000 as affordability and compliance issues drive adoption. According to Investment Trends' latest Adviser Technology Needs Report, advisers are using an increasing ...

ASIC flags 'significant' IDR compliance issues at super funds

JAMIE WILLIAMSON  |  WEDNESDAY, 10 AUG 2022
... complaints. ASIC is currently undertaking surveillance of super funds' internal dispute resolution processes, examining compliance with Regulatory Guide 271 Internal dispute resolution (RG 271) which took effect last October. ASIC has so far analysed ...

Convicted former financial adviser banned for life

CHLOE WALKER  |  TUESDAY, 9 AUG 2022
... that Nesseim had "weaved a tangled web; and ultimately entangled himself in his own falsehoods". "Had he admitted non-compliance with the particular disclosure requirements when first contacted, the consequences for him would not have involved a protracted ...