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Showing 831 - 840 of 3481 results for "Compliance"

Netwealth tops platform ratings

CHLOE WALKER  |  MONDAY, 21 FEB 2022
... integration, all in a concerted effort to support the continued digitisation of adviser practices and their compounding compliance burden," she said. Platforms have also been open to adviser feedback, making several changes to make their job easier in ...

LifeBid bolsters team

ELIZABETH MCARTHUR  |  MONDAY, 21 FEB 2022
... company aims to reduce the cost of life advice by up to 90% with its tech offering by simplifying renewals, automating compliance, and creating a larger adviser and insurer capacity. Zurich, OnePath, PPS Mutual, NEOS, Australian Unity, Centrepoint Alliance ...

Aware Super advice arm to pay $20m fine

CHLOE WALKER  |  FRIDAY, 18 FEB 2022
... by charging fees for no service and failing to have internal procedures, measures, and controls in place to monitor compliance, Aware FS also breached its obligations as an AFSL holder to act efficiently, honestly and fairly and to comply with financial ...

Bell Financial Group in AUSTRAC probe

JAMIE WILLIAMSON  |  THURSDAY, 17 FEB 2022
Three of Bell Financial Group's subsidiaries are under scrutiny by AUSTRAC, with an audit ordered to assess compliance with financial crime laws. AUSTRAC has ordered that an external auditor be appointed to Bell Potter Securities, Bell Potter Capital ...

Sequoia makes three appointments

ELIZABETH MCARTHUR  |  TUESDAY, 15 FEB 2022
... licensee that can pro-actively assist them to maximise business opportunities and effectively navigate regulatory and compliance demands," he said. "It is particularly pleasing that in this environment Sequoia, is regarded as a 'licensee of choice' by ...

Synchron names new state manager

KARREN VERGARA  |  MONDAY, 14 FEB 2022
... South Australia and the Northern Territory," he said. Synchron recently appointed Phil Osborne as general manager of compliance on February 1.

PE Capital in liquidation

KARREN VERGARA  |  THURSDAY, 10 FEB 2022
... ASIC's investigation included interviewing Jason Huang (director of PE Capital Asia) and Greg Roberts (director of compliance). Martyn Barnes was non-executive chair of PE Capital. His LinkedIn now claims he is based in Dubai and is the managing ...

LGIA upgrades anti-money laundering tech

ELIZABETH MCARTHUR  |  TUESDAY, 8 FEB 2022
... solution that would support our continued growth," LGIA chief executive Kate Farrer said. "Napier is the financial crime compliance solution that gives us complete control and transparency of rules as well as segregation of data, rules, and workflows. ...

Iress wins new mandate

ELIZABETH MCARTHUR  |  MONDAY, 7 FEB 2022
... technology used to support all areas of Findex's financial advice and risk insurance business including advice operations, compliance processes, and investment portfolio strategy development. "We're delighted to partner with Findex to support its strategy ...

FPA calls for stronger experience pathway

KARREN VERGARA  |  FRIDAY, 4 FEB 2022
... providing an exemption at this point, given the 37% drop in authorised financial planners to date and post the exam compliance cut off, will fail to attract exited financial advisers back, nor will it remove the regulatory burden, duplication and inefficiencies ...