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Showing 801 - 810 of 3496 results for "compliance"

ASX names new managing director

CASSANDRA BALDINI  |  THURSDAY, 2 JUN 2022
... ASX's derivatives and OTC markets and clearing businesses, and more recently in cash equities and the various risk, compliance, technology and operational teams who support them. It has been an exciting and rewarding experience." Lofthouse said being ...

BGL appoints head of ecosystem

CASSANDRA BALDINI  |  TUESDAY, 31 MAY 2022
... to lead the industry in connectivity in the years ahead." BGL is a provider of SMSF investment portfolio and company compliance management software, its free open API is used across the industry with reportedly over 350 data feed and integration partners ...

New Ethereum ETF launches on Cboe Australia

ANDREW MCKEAN  |  TUESDAY, 31 MAY 2022
... in assets under management. Pertinently, the fund is backed by cryptocurrency custodian Gemini, which uses a global compliance platform to secure the fund's Ether assets. The Gemini platform was founded by the Winklevoss twins who gained fame from accusing ...

BNY Mellon subsidiary to pay US$1.5m over ESG misstatements

CASSANDRA BALDINI  |  TUESDAY, 24 MAY 2022
... Enforcement's Climate and ESG Task Force was formed in March 2021, and among other things, it analyses disclosure and compliance issues relating to investment advisers' and funds' ESG strategies.

Natixis appoints to management committee

CHLOE WALKER  |  TUESDAY, 24 MAY 2022
... Management chief executive Audrey Koenig, head of global corporate communications Alix Boisaubert and global chief compliance officer Justin Rosin. Also appointed is Alain Bruneau as general secretary, global head of client experience Melanie Robinson ...

Citi names new head of securities services

CASSANDRA BALDINI  |  MONDAY, 23 MAY 2022
... wish him well in the next chapter of his life." Carpenter will retain his full responsibilities pending regulatory and compliance approvals for England's appointment, which is expected to be finalised within the third quarter. The announcement comes ...

Foresters appoints chief risk officer

ANDREW MCKEAN  |  THURSDAY, 19 MAY 2022
... Hannigan will be based in Melbourne and report to chief executive Emma Sakellaris. Most recently Hannigan worked in risk compliance at IOOF and NAB as a senior risk partner. Before this, he spent 12 years at Tasplan in various compliance and company ...

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 ...