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Showing 831 - 840 of 2631 results for "Practices"

AMP names incidents, issues lead

KARREN VERGARA  |  WEDNESDAY, 14 OCT 2020
... senior risk, compliance and governance roles. She aims to help transform the industry, and improve risk and compliance practices by strengthening measures and changing cultures. "Angela is a highly experienced risk management professional and joins AMP ...

Sexual harassment rife in financial services: O'Neill

ELIZA BAVIN  |  WEDNESDAY, 14 OCT 2020
... she is not alone." O'Neill said she has personally had a number of women contact her about issues with cultural practices inside the sector as a whole. "This is replete across the entire sector. I don't want to single AMP out as a particularly ...

Proposed changes ahead for APRA's heatmaps

ANNABELLE DICKSON  |  TUESDAY, 13 OCT 2020
... "Self-interest has no place in the board room, and this will continue to be a focus of APRA's work to lift governance practices across the industry."

Financial advice more important than ever: HUB24

ELIZA BAVIN  |  TUESDAY, 13 OCT 2020
... 27 new licensee agreements signed during the September quarter, with both large boutique licensees and self-licensed practices. "HUB24 is confident that the new business pipeline will continue to grow as additional opportunities emerge given adviser ...

DTCC launches advisory service

KARREN VERGARA  |  FRIDAY, 9 OCT 2020
... Financing Transactions Regulation (SFTR) and Central Securities Depositories Regulation (CSDR), as well as providing best practices in the trade reporting and the post-trade process. The group provides back-office services from initial onboarding through ...

AMP Capital included in UNPRI Leaders Group

ALLY SELBY  |  THURSDAY, 8 OCT 2020
... UNPRI said signatories in the Leaders' Group all have well-developed processes for reporting on climate-related practices, and also have robust governance structures to manage them. "Ultimate oversight and accountability for climate-related issues ...

AMP, former employee settle

KANIKA SOOD  |  WEDNESDAY, 7 OCT 2020
... a claim in the Federal Court alleging AMP dismissed her unfairly after she raised concerns about fee-for-no-service practices with its former top executives. She was seeking $2 million in damages. The matter was set aside for a hearing this November. ...

Trustees cutting corners: Rowell

KARREN VERGARA  |  FRIDAY, 2 OCT 2020
... of the regulator's guidance and refusing its requirements without "equal gusto." Rowell highlighted a number of poor practices at the recent AIST Trustees Forum, starting with substandard peer reviews, in which many super funds are pitting themselves ...

BABL named, shamed over Great Southern

ELIZABETH MCARTHUR  |  WEDNESDAY, 30 SEP 2020
... breaches included non-compliance with a number of the code's important consumer protections, such as debt collection practices and the treatment of customers experiencing financial difficulty. The BCCC has the power to apply sanctions to code subscribing ...

Manipulative trading at J.P. Morgan costs it over $1bn

ALLY SELBY  |  WEDNESDAY, 30 SEP 2020
... Commission. The agreements with the three government agencies resolve investigations into historical manipulative trading practices by the global banking and financial services giant in the precious metals and US treasuries markets, spanning more than ...