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Showing 951 - 960 of 3496 results for "compliance"

Alphinity launches new fund

ELIZABETH MCARTHUR  |  THURSDAY, 22 JUL 2021
... example," he said. "When we come across a grey area related to ESG issues or alignment with the SDGs the Sustainable Compliance Committee assesses the matter and determines whether Alphinity can support the company's activities. "The committee includes ...

Modern slavery obligations fall by the wayside: ACSI

KARREN VERGARA  |  WEDNESDAY, 21 JUL 2021
... The next 12 months will determine whether the act is driving concrete action and continuous effective "box-ticking compliance exercise". "Investors and other stakeholders have a key role to play in engaging with ASX200 companies to ensure statements ...

ASIC prepares licensees for reference checks

KARREN VERGARA  |  WEDNESDAY, 21 JUL 2021
... representatives comply with financial services laws or credit legislation," the regulator said. A civil penalty applies for non-compliance. ASIC can also take administrative action if parties do not comply with the new protocol, which could include suspending ...

FAR draft legislation released

KANIKA SOOD  |  MONDAY, 19 JUL 2021
... under this threshold will not have to submit accountability maps and statement to APRA and ASIC under the enhanced compliance thresholds. "The Financial Accountability Regime imposes a strengthened responsibility and accountability framework within financial ...

Padua appoints chair

ELIZABETH MCARTHUR  |  FRIDAY, 16 JUL 2021
... delivering financial advice in a cost effective and efficient manner. "Padua's technology dramatically reduces the cost of compliance for advisers and runs unopposed in the market. I am excited about the opportunity for Padua and I look forward to overseeing ...

Lifespan appoints compliance lead

KARREN VERGARA  |  MONDAY, 12 JUL 2021
Lifespan Financial Planning has hired a risk and compliance lead who was previously a financial adviser for the firm. Adrian Caspar joins the Sydney office with 15 years' experience in compliance, risk management, financial advice and governance. Caspar ...

MySuper performance soars

ANNABELLE DICKSON  |  FRIDAY, 9 JUL 2021
... investment earnings in the past 12 months, or almost $39,000 each," Rainmaker Information executive director of research and compliance Alex Dunnin said. "This is three-times the amount of all the money everyone contributed into their superannuation ...

FSC launches DDO templates

ANNABELLE DICKSON  |  THURSDAY, 8 JUL 2021
... much easier for product issuers, platforms and financial advisers who would otherwise face confusing and inconsistent compliance requirements. Without this alignment, advisers in particular will be faced with having to comply with dozens of different ...

FYG expands network

KARREN VERGARA  |  WEDNESDAY, 7 JUL 2021
... "Naturally, as a financial planning business owner you expect your licensee to be adequately resourced to meet ongoing compliance and business hygiene needs." FYG Planners general manager Andrew Wootton said it was great to see an adviser striking out ...

SuperConcepts appoints chief executive

ANNABELLE DICKSON  |  WEDNESDAY, 7 JUL 2021
... has worked in the SMSF industry for 15 years. He has experience across sales, marketing, customer service, risk and compliance. Christensen also ran the SuperConcepts YourSMSF administration business for two years. AMP Australia's director, platforms ...