Search Results | Showing 81 - 90 of 3495 results for "compliance" |
| | | ... where appropriate, in pursuing their own AFSL or transitioning to another licensee of their choosing, including through compliance and support services available within the Sequoia group." Sequoia is currently suing the Australian Financial Complaints ... |
| | | | ... strategic acquisitions in the financial planning, wealth management and accounting arenas." "His experience in governance, compliance oversight and strategic risk management aligns strongly with AWAG's commitment to best practice advice standards and ... |
| | | | ... cost-cutting that could lead to the disruption of systems and services, attrition of investment staff, deterioration in compliance functions and the degradation of investment performance and client experience." Key Janus Henderson investment professionals ... |
| | | | ... firms failed to comply with a determination under new rule A.11.6. In doing so, AFCA said it may consider if the non-compliance leads to actual or potential financial or practical harm from delay or refusal. It will also consider a firm's express refusal ... |
| | | | ... obligations, in place of the current requirement to submit one of three separate forms. ASIC also wants to discuss any compliance cost implications and the likely effect the reforms will have on competition. ASIC details its intentions in Consultation ... |
| | | | ... support, helping to ensure Infocus' governance framework remains robust and practical by working with head of risk and compliance Annika Coutts. He brings over 20 years of experience across financial services governance, audit and regulatory compliance. ... |
| | | | ... and distribution across exchanges, wealth platforms, payment providers and enterprise partners; deepen regulatory and compliance capability; enhance Macropod's technology platform; and accelerate commercial partnerships across superannuation, asset management ... |
| | | | ... been appointed chief operating officer and will join GSFM's executive committee. Osborne joined GSFM in March 2017 as compliance manager bringing extensive experience in operations, process improvement, risk management and compliance. In 2019, he was ... |
| | | | ... investments and distribution. James Gil and Saul Bernstein have been elevated to head of product and head of risk and compliance, respectively, while Pranay Lal has been promoted to portfolio manager. Clio Bratina has joined the business development ... |
| | | | ... with Bell Asset Management's strategic decision to diversify investment offerings across distributions, operations, compliance and administration. Commenting, Lovett said the appointments represent an exciting step forward for the firm. "As boutique ... |
|