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Showing 81 - 90 of 3474 results for "Compliance"

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 ...

Drummond steps up governance and adviser support

ELIZABETH FRY  |  THURSDAY, 5 FEB 2026
... experience in Australian financial services, including senior roles in financial advice, AFSL leadership, governance and compliance. Mitchell will run compliance and governance across the firm, while leading implementation for partner practices. He joins ...

Petra Capital fined over misreporting of 15k trades

MATTHEW WAI  |  THURSDAY, 5 FEB 2026
... and may have lasted longer had ASIC not identified the issue. Although the MDP concluded that Petra possesses "a good compliance culture", the alleged contravention was "significant". Petra has subsequently complied and paid the infringement in full. ...

Australian Unity cops fine for TMD, DDO failures

KARREN VERGARA  |  MONDAY, 2 FEB 2026
... who will be contacted separately in due course." Justice Moshinsky concluded that the employee tasked with ensuring compliance with the DDO regime or the "DDO project manager" did not have appropriate experience or training. "This reflects poorly on ...

ASIC acts against 28 SMSF auditors

MATTHEW WAI  |  FRIDAY, 30 JAN 2026
... advise ASIC of changes to their contact details on the public register of SMSF auditors, did not respond to regulatory compliance requests or did not carry out enough audit work to meet the practical experience requirements. Between 1 July 2025 and 31 ...