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Showing 841 - 850 of 3496 results for "compliance"

Advisers call out regulation backflip

KARREN VERGARA  |  FRIDAY, 4 MAR 2022
... backflip, which floated the idea that the industry can operate under a principles-based regime. Synchron general manager of compliance Phil Osborne said the proposed framework put forth by Senator Jane Hume "should be considered carefully and not be ...

Advisers cautious of election promises

KARREN VERGARA  |  THURSDAY, 3 MAR 2022
The federal government must be held accountable for making sweeping promises around reducing compliance and qualification red tape, a financial advice industry event has heard. The minister for superannuation, financial services, and digital economy ...

Hume pledges less red tape for advisers

KARREN VERGARA  |  WEDNESDAY, 2 MAR 2022
... is promising major changes to the financial advice industry ahead of the federal election, ones that will overhaul compliance, costs, and education standards. Senator Jane Hume promoted the idea of deregulating the advice industry and putting in place ...

Winner of Gwen Fletcher Memorial Award 2022 announced

ELIZABETH MCARTHUR  |  WEDNESDAY, 2 MAR 2022
... (FPA) has congratulated the first winner of the Gwen Fletcher Memorial Award for 2022. Melbourne-based senior advice compliance analyst Danica Lozada of Industry Fund Services has taken home the award. The Gwen Fletcher Memorial Award recognises the ...

FPA pushes for advice law simplification

KARREN VERGARA  |  WEDNESDAY, 2 MAR 2022
... ultimately comes at the expense of consumers. "Financial planners are not lawyers, but it may be that the regulatory and compliance requirements under one Act and Regulator differ from those of others, leaving financial planners at risk of breaching ...

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 ...