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Showing 981 - 990 of 3483 results for "Compliance"

ASIC cancels AFSLs

ANNABELLE DICKSON  |  TUESDAY, 25 MAY 2021
... have had their AFSLs cancelled. Direct My Wealth failed to lodge its 2020 audited financial accounts and its annual compliance certificate within 45 days of the scheduled date which are required under the AFSL and led to the cancellation of its Australian ...

Advisers filter clients via ethical lens

KARREN VERGARA  |  FRIDAY, 21 MAY 2021
... posits a business with a robust ethics culture will see less need for the regulator to enforce heavy-handed rules and compliance. Many advisers are putting ethics as a frame of reference into their business practice, making more effort to being transparent ...

Pinnacle affiliates reach $85bn AUM

KARREN VERGARA  |  THURSDAY, 20 MAY 2021
... decline in headcount compared to FY20. Pinnacle said uncertainties around regulatory reform, together with increased compliance affect productivity and profitability. There is a rise in corporate activity and industry fragmentation is hitting both advice ...

Salaries boosted by skills shortage

ELIZABETH MCARTHUR  |  THURSDAY, 20 MAY 2021
... that are proving to be the most difficult to find amongst job candidates include business/financial analysis (26%), compliance (24%), financial planning and analysis (24%), risk (22%), and internal audit (22%). With limited supply and high demand in ...

EFM appoints EQT on Aussie launch

ANNABELLE DICKSON  |  TUESDAY, 18 MAY 2021
... wish to tap into new markets, with the backing of a partner that can provide specialist local knowledge and a robust compliance and governance structure," he said.

Former Westpac chief executive in new role

KANIKA SOOD  |  TUESDAY, 11 MAY 2021
... departure from Westpac was announced in November 2019, after AUSTRAC alleged Westpac was involved in "systematic" non-compliance with the Anti Money Laundering and Counter Terrorism Act 2006 on over 23 million occasions. Westpac eventually paid a $1.3 ...

GQG Partners adds to team

ANNABELLE DICKSON  |  MONDAY, 10 MAY 2021
... expanded its Australian presence with three appointments, building out the team to eight. Alison Smith has joined as compliance officer from MLC where she was compliance manager - asset management. Prior to this, she was principal at BlackWatch Partners ...

Managed funds coped with COVID-19: ASIC

ELIZABETH MCARTHUR  |  FRIDAY, 30 APR 2021
... deputy chair Karen Chester said. "We will continue to monitor liquidity management by responsible entities and may take compliance or other action where we find misconduct."

OpenMarkets hires, acquires, preps for IPO

ELIZABETH MCARTHUR  |  FRIDAY, 30 APR 2021
... advice at high levels of confidence and improving client outcomes and engagement, while also increasing efficiency and compliance for the adviser. The acquisition was driven by an increasing need for affordable advice in Australia, OpenMarkets chief ...

Advisers laud Xplan software

KARREN VERGARA  |  WEDNESDAY, 28 APR 2021
... advisers, a new Investment Trends survey finds. Iress' Xplan took out the nod for its comprehensive functionality, compliance technology and ability to support advice firms of all sizes, according to the 2020 Advice Technology Benchmark Report. Morningstar's ...