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Showing 791 - 800 of 3479 results for "Compliance"

Former adviser sentenced over dishonesty

JAMIE WILLIAMSON  |  TUESDAY, 17 MAY 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 ...

We knew people would leave the advice industry: Hume

ANDREW MCKEAN  |  FRIDAY, 13 MAY 2022
... could offer to clients. She took no exception to the Best Interests Duty, stringent educational standards, onerous compliance or digital disruption that have reformed the industry. Hume was also unperturbed by the finfluencers that have begun to fill ...

Rest bolsters operational risk oversight

ELIZABETH FRY  |  FRIDAY, 6 MAY 2022
... help run operational risk. The industry fund confirmed that Foo was appointed senior manager, operational risk, and compliance, investment management. Foo was a director of Deloitte Consulting where he worked in the asset management and superannuation ...

BUSSQ board fully stocked again

JAMIE WILLIAMSON  |  FRIDAY, 6 MAY 2022
... at BUSSQ. Joining alongside her is employer representative Ben Young. Young is the owner and operator of Workplace Compliance Australia and is workplace relations director at Hutchinson Builders. Their appointments bring the BUSSQ board to eight, including ...

TWUSUPER chair retires after two decades

JAMIE WILLIAMSON  |  THURSDAY, 5 MAY 2022
... business matters, including as a chair and director, system policy design, legislation, governance, regulation and compliance, IT and administration, taxation, investment, audit, and HR will be invaluable," Sandy said. "As Australia navigates an increasingly ...

ANZ stablecoin amplifies changing operating models

ANDREW MCKEAN  |  WEDNESDAY, 4 MAY 2022
... ANZ continued to tout lower barriers to entry, having acknowledged the benefits of smart contract auditing, on-chain compliance and digital asset custody services. Moreover, ANZ's calculated foray into innovative digital asset transactions has presented ...

Breach reporting regime a distraction: Report

JAMIE WILLIAMSON  |  TUESDAY, 3 MAY 2022
A survey of compliance professionals has found 67% believe ASIC's breach reporting rules distract from other issues and the greatest proportion of reports filed relate to financial advice failures. A report from CoreData, Lawcadia and Gadens looks ...

ATO slammed for failing to collect billions in unpaid super

ANDREW MCKEAN  |  MONDAY, 2 MAY 2022
Industry Super Australia has unleashed on the loose laws and 'light touch' compliance that's costing working Australians billions in unpaid super. In a statement, ISA said: "The auditor has found the Australian Tax Office's (ATO) reluctance to 'proactively' ...

NAB evades AUSTRAC fine for non-compliance

ANDREW MCKEAN  |  MONDAY, 2 MAY 2022
... identified concerns about its AML-CTF program, systems and controls. The regulator subsequently found issues of non-compliance in targeted compliance assessments and through self-disclosures from NAB. Later in June 2021, AUSTRAC notified NAB of a formal ...

BWC Partners joins Count Financial

JAMIE WILLIAMSON  |  THURSDAY, 28 APR 2022
... closely together." According to Crowe, the decision to join Count was simple and based on the research, technical and compliance support offered by the group. "Count Financial was very supportive during the transfer from our old licensee. They have robust ...