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Showing 71 - 80 of 3468 results for "Compliance"

SMSFs avoid advisers due to lack of asset-specific support

MATTHEW WAI | FRIDAY, 20 FEB 2026

... said she understood that financial advisers cannot provide advice on assets like cryptocurrencies and property due to compliance requirements, but they should be able to educate on those topics rather than shutting down the conversation entirely. "Financial ...

AustralianSuper risk lead jumps to rival

ELIZABETH FRY | THURSDAY, 19 FEB 2026

Skye Stevenson, former head of investment compliance and operational risk at AustralianSuper, has left the $410 billion fund to join Rest Super in a newly created Sydney-based role. Rest Super has appointed Stevenson general manager, investment governance. ...

Most sought-after professionals revealed

ELIZA BAVIN | THURSDAY, 19 FEB 2026

... home around $412,000 a year plus super. However, the most sought-after professionals are those working within risk and compliance. The top three most in demand professionals in the financial services sector are risk and compliance managers, internal ...

ASIC cancels AFSL of Qld securities dealer

MATTHEW WAI | MONDAY, 16 FEB 2026

... the appointment of CARs. ASIC said the business failed to monitor the websites and marketing of CARs, and maintain compliance, breach and incident registers. Pulse Markets also failed to provide financial statements on separate occasions and failed to ...

Super moves: Top super funds lose key risk executives

ELIZABETH FRY | THURSDAY, 12 FEB 2026

... analytics, model validation, and stress-testing at Suncorp Group. Earlier, he managed the independent investment risk and compliance function across all managed asset classes at QIC. Horn's early career included roles as an international equities ...

ASIC imposes licence conditions on Cambridge Mercantile

ANGELIQUE MINAS | THURSDAY, 12 FEB 2026

... conditions on the Australian financial services licence (AFSL) of Cambridge Mercantile's local branch, following ongoing compliance failures in its foreign exchange derivatives business. The Corpay subsidiary misclassified over 2800 retail clients ...

RBA veteran leads AOFM review

KARREN VERGARA | WEDNESDAY, 11 FEB 2026

... development and implementation of its liquidity management strategy, and if its frameworks for risk management and compliance are fit for purpose. The review will also look at the external reporting and governance structures between the AOFM and Treasury. ...

FIIG Securities fined $2.5m for lengthy cyber failures

JAMIE WILLIAMSON | TUESDAY, 10 FEB 2026

... million as well as $500,000 towards ASIC's legal costs. FIIG must also engage an independent expert to undertake a compliance programme in relation to its cybersecurity measures and processes. "Cyber-attacks and data breaches are escalating in both scale ...

Treasury to reform managed investment scheme governance

KARREN VERGARA | TUESDAY, 10 FEB 2026

... to poor governance and other scheme risks" will make a difference. A new MIS regulatory framework will have stricter compliance plan requirements, such as a detailed description of the nature of the MIS and its investment strategy, and information outlining ...

Mulino acknowledges some regulation 'not thought through'

ELIZA BAVIN | MONDAY, 9 FEB 2026

... regulatory framework. The rising regulatory burden is estimated to have added at least $5.5 billion in business-related compliance costs over the last five financial years, the report found. Regulatory reform stands as one of the most significant opportunities ...

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BT appoints new head of strategy

KARREN VERGARA

A former Allianz Retire+ executive has joined BT as the new head of strategy.

ASX sees trade volumes soar in May

MATTHEW WAI

ASX saw a substantial growth in trade volumes last month, despite continued lackluster movement in IPOs.

Otivo launches AI-powered financial advice

MATTHEW WAI

Otivo has launched a mobile app for Australians to access licensed advice powered by AI.

Munro expands access to climate focused fund

VINNY VUCAGO

The Munro Global Growth Climate Leaders PIE Fund has been opened to retail investors in New Zealand.

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