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Showing 781 - 790 of 3495 results for "compliance"

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 ...

ASIC takes Mercer Financial Advice to court

JAMIE WILLIAMSON  |  THURSDAY, 30 JUN 2022
... entitled to charge, being for financial services and advice those customers did not receive." "Additionally, Mercer's poor compliance systems led to allegedly misleading disclosure statements, which affect how customers make decisions about the financial ...

ETF Securities appoints business development manager

CHLOE WALKER  |  THURSDAY, 30 JUN 2022
... clients. "I am passionate about financial advice," Shanker said. "As an ex-financial planner, I am acutely aware of the compliance and operational challenges facing the industry. I am excited about the prospect of helping simplify the investment process." ...

CareSuper grows leadership team

JAMIE WILLIAMSON  |  WEDNESDAY, 29 JUN 2022
... AustralianSuper as head of internal audit. Nguyen, who has been acting in the role since Ray's departure, oversees the risk and compliance team and will manage CareSuper's relationship with regulators. Before joining CareSuper in October 2021, Nguyen ...

AZ NGA firms merge for growth

JAMIE WILLIAMSON  |  TUESDAY, 28 JUN 2022
... requiring advice businesses to change too," he said. "While Logiro is largely the same business it was five years ago, the compliance burden is much greater. This deal will free me to spend more time helping my clients, which gives me the most joy and ...