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Showing 891 - 900 of 3483 results for "Compliance"

Fiducian adds $38m FUA to network

KARREN VERGARA  |  FRIDAY, 8 OCT 2021
... Albury/Wodonga area by providing support services worth $360,000. This covered training, practice management, legal assistance, compliance, and technology support. It is the dealer group's policy not to disclose the names of advisers that join its network. ...

Suncorp names chief risk officer

ANNABELLE DICKSON  |  FRIDAY, 8 OCT 2021
... years at IG Group first joining as a lawyer in 2005 and later went on to become general counsel and global head of compliance. In her most recent role, she was responsible for driving and enabling growth and international expansion in a heavily regulated ...

Milestone Group launches valuation tool

KARREN VERGARA  |  WEDNESDAY, 6 OCT 2021
... back-office solution that aims to accurately value securities. Fair Value Control can be used by administration and compliance teams to help reduce operational risk, improve governance and provide insights to fund managers and fund boards. Milestone ...

Family office makes crypto play

ELIZABETH MCARTHUR  |  WEDNESDAY, 6 OCT 2021
... purchase, hold and secure the underlying Bitcoin. "We searched globally for a solution that could mirror our internal compliance processes for investing and found Zerocap to be amongst the leaders in their field, and fortuitously, local," VSG managing ...

AIOFP petitions to delay DDO, annual renewal

KARREN VERGARA  |  FRIDAY, 1 OCT 2021
... AIOFP Peter Johnston said this has ultimately resulted in unintended consequences in which advisers now have to pass compliance costs to their clients. "Now is the time for action, the success of this strategy rests with Advisers getting involved to ...

Link hires RSS compliance head

ANNABELLE DICKSON  |  THURSDAY, 30 SEP 2021
Link Group hired a senior superannuation specialist from ASIC to take on the role of global head of risk and compliance for its Retirement & Superannuation Solutions (RSS) division. Theresa Mills joined ASIC in 2016 as a director of its financial literacy ...

Hyperion Asset Management builds out team

ANNABELLE DICKSON  |  MONDAY, 27 SEP 2021
The fund manager has appointed a head of risk and compliance, general executive, and research associate as it invests in its next stage of growth. Thomas Withers has joined as head of risk and compliance from Northcape Capital where he was in a similar ...

Asendium partners with licensee support firm

KARREN VERGARA  |  WEDNESDAY, 22 SEP 2021
... ideas and thought leadership." Asendium recently partnered with regtech Fourth Line to help advisers deliver risk and compliance reviews as part of their document preparation. "Importantly, as the number of advised Australians remains static at around ...

AFA chief outlines vision

KARREN VERGARA  |  TUESDAY, 21 SEP 2021
... in the profession. "Then there are others who have run successful practices but are being overwhelmed by increasing compliance costs and other legislative and regulatory changes impacting on products and how they can be offered. It is hardly surprising ...

ASIC worried about finfluencers

ELIZABETH MCARTHUR  |  TUESDAY, 21 SEP 2021
... 7.7 of the Corporations Act. "The feedback I get from my own staff is that the industry can take an overly cautious compliance approach to these documents which can add costs," Longo explained. He went on to acknowledge that ASIC could do more to work ...