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Showing 71 - 80 of 82 results for "Compliance officer"

APRA approves LUCRF MySuper

STAFF JOURNALIST  |  THURSDAY, 14 MAR 2013
... introduced providing certainty and stability," said the fund's chief executive Greg Sword. Nikki Schimmel, chief compliance officer at LUCRF, welcomed the early approval and credited the team that managed the application process. LUCRF, which stands ...

IQPC conference tackles operational risk

MARK SMITH  |  MONDAY, 15 OCT 2012
The IQPC Financial Services Operational Risk and Compliance conference in early December is designed to help advisers assess risk, get the most from their budget and develop strategies to overcome the challenges posed by regulatory change. Recent scandals ...

Upside from frontier markets untapped: Feriani

BEN COLLINS  |  MONDAY, 8 OCT 2012
When the tide turns on an economic climate that cultivates negativity, a lot more investment will find its way to a basket of frontier markets currently overlooked by emerging market index providers. That's the view of Dr Slim Feriani, chief executive ...

ASX new CEO remains on Tabcorp board

RACHEL DAVIS  |  FRIDAY, 26 AUG 2011
... interests of ASX or compromise Mr Funke Kupper's ability to perform his role." ASX Compliance, headed by a Chief Compliance Officer, oversees compliance by companies with ASX listing rules. It does have its own, separate compliance board on which Funke ...

Alliance brings cloud power to financial services

BLOOMBERG RELEASE  |  FRIDAY, 15 JUL 2011
Bloomberg has integrated its electronic communications compliance software Bloomberg Vault with Microsoft Office 365, incorporating cloud archiving in the product the firm said today. The product helps financial services firms meet global regulatory ...

BlackRock adds three senior execs

JOHN MCDULING  |  FRIDAY, 13 AUG 2010
... Governance Research and Engagement, CGI Glass Lewis and Qantas Airways. Orla Fisk has also been appointed senior compliance officer, joining the fund manager from Genesys Wealth Advisers, prior to which she headed compliance teams at Challenger Financial ...

Undue credit (ratings)

BENJAMIN ONG  |  THURSDAY, 24 SEP 2009
... a vortex of what is now known as the GFC. According to the WSJ, Kolchinsky wrote a letter to Moody's chief compliance officer last July saying that, "Moody's issued an opinion which was known to be wrong," and proceeded to cite other instances where ...

Pax fined for SRI breach

MICHELLE BALTAZAR  |  MONDAY, 25 AUG 2008
... High Yield Bond Fund, the head of the Social Research department, Pax World's outside counsel and the chief compliance officer all no longer working for the group.

Club Plus appoints chief executive

... created following a management review by the fund's trustees which found a full time chief executive and a compliance officer where necessary to push them to the next level. "Our growth demanded we have a fulltime chief executive officer managing our ...

MAB FM bolsters team

HAMISH MADDEN  |  MONDAY, 30 JUL 2007
... executive managed funds. MAB FM also announced the appointment of Toli Prantzos as asset manager, Kata Volarevic as compliance officer and finds administration and John Ryan as financial accountant. MAB FM currently has more than $250 million in funds ...