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Showing 861 - 870 of 3496 results for "compliance"

ClearView welcomes chief risk officer

KARREN VERGARA  |  TUESDAY, 1 FEB 2022
ClearView Wealth has appointed a chief risk officer from NAB to oversee its compliance and risk management operations. Cloe Reece was most recently the executive general manager of enterprise controls performance at NAB. Prior to spending about 18 months ...

Inquiry criticises gaps in CSLR

KARREN VERGARA  |  MONDAY, 31 JAN 2022
... sub-sectors has also been widely slammed as advisers would bear a disproportionate amount of the costs. "The escalation of compliance costs and ASIC levies in the financial advice sector and the difficulties faced by financial advisers in providing affordable ...

Quality of Advice must consider digital: Ignition

ELIZABETH MCARTHUR  |  MONDAY, 31 JAN 2022
... cost of advice delivery due to the cost of complying with increased regulation. The review will consider excessive compliance obligations, principles versus rules-based regulation, clarity of disclosure, and undesirable unintended consequences arising ...

Crescent Group appoints head of risk

CHLOE WALKER  |  MONDAY, 24 JAN 2022
... Crescent Group has today announced the appointment of risk management professional Saira Cader as head of risk and compliance. Cader has more than 15 years' financial services experience, including leading credit teams at Pepper Group, the Commonwealth ...

Former Spaceship chief executive banned

JAMIE WILLIAMSON  |  FRIDAY, 21 JAN 2022
... dishonestly obtained his Australian Institute of Company Directors qualification by having a subordinate employee - a compliance officer - complete his assessments without his involvement. The conduct is said to have occurred around October 2018 and ...

JANA hires legal expert from industry fund

KARREN VERGARA  |  WEDNESDAY, 19 JAN 2022
Investment consulting firm JANA appointed a legal expert to lead its risk and compliance division. Lindy Hunt was hired as head of legal, risk and compliance last December, joining from Club Plus Super where she spent the last seven years of her career. ...

Trading platform cops $110k fine

KARREN VERGARA  |  TUESDAY, 18 JAN 2022
A trading platform has copped a fine of $110,250 for breaching enquiry rules and compliance obligations. BGC Partners breached the ASX 24's trading rules on two occasions on 22 March 2019, according to the Markets Disciplinary Panel, by transacting ...

Sequoia Financial Group acquires legal practice

CHLOE WALKER  |  MONDAY, 10 JAN 2022
... advisers' perspective, this specialist expertise will significantly enhance the advice they can provide in relation to SMSF compliance, preparing deeds of ratification/rectification, estate planning and other death benefit issues." He added that ...

ASIC bans adviser for two years

CHLOE WALKER  |  WEDNESDAY, 22 DEC 2021
... the basis of his advice," a statement released on Monday read. "ASIC considered these failures showed a disregard of compliance obligations and an absence of the competence required to provide one or more financial services." In some cases, Betalli's ...

Government backflips on adviser education

ELIZABETH MCARTHUR  |  FRIDAY, 17 DEC 2021
... advice more affordable. Hume said the review will aim to identify opportunities to streamline and simplify regulatory compliance obligations to reduce cost and remove duplication, recognising that costs of compliance for financial advice businesses are ...