Search ResultsShowing 1 - 10 of 100+ results for "Audit"
AUSTRAC orders audit of PayPal
ELIZA BAVIN  |  TUESDAY, 1 OCT 2019
AUSTRAC has ordered the appointment of an external auditor to look into PayPal Australia in relation to "ongoing concerns" about its compliance with financial crime laws. The financial intelligence agency said the concerns relate to PayPal Australia's ...
Industry Fund Services adopts regtech solution
KRISTI CHENG  |  FRIDAY, 13 SEP 2019
... called SAMI - Surveillance and Monitoring Intelligence - which is designed to aid licensee oversight of advice quality and audit effectiveness. Instead of a traditional, manual compliance review of only a sample of client financial planning files, an ...
Changes at helm for Perpetual
ELIZA BAVIN  |  FRIDAY, 13 SEP 2019
... its people. The board wishes them all the very best in their future endeavours." Bullock had been a member of Perpetual's audit, risk and compliance committee and people and remuneration committee. "[Bullock] has brought extensive experience of technology ...
Queensland-based AFSL suspended
ELIZABETH MCARTHUR  |  TUESDAY, 10 SEP 2019
... not meeting its obligations as a licensee. The regulator said Financial Options Pty Ltd failed to lodge its accounts and audit report for the year ending 30 June 2018, have a dispute resolution system and maintain organisational competence or the resources ...
Former Equip chief joins Cbus
KARREN VERGARA, KRISTI CHENG  |  FRIDAY, 30 AUG 2019
... 2013 as a risk manager and moved on to become general manager and head of risk management. He previously managed internal audit risk consulting at KPMG Australia for eight years. Walker joins from Victoria's Department of Health and Human Services ...
YBR to remediate wealth clients
KARREN VERGARA  |  FRIDAY, 30 AUG 2019
... time limits prescribed by the Corporations Act. YBR said it made a provision for $928,000 and is conducting an internal audit of records and will contact affected clients. According to ASIC, fee disclosure statement obligations require advice providers ...
LIC announces board changes
KARREN VERGARA  |  TUESDAY, 27 AUG 2019
... the joint chief executive of Centuria Capital , retires after five years of service. McBain relinquishes his seat on the audit and risk committee, and will also step down as chair of the nominations and corporate governance committee. Eamonn Roles replaces ...
IOOF establishes super trustee office
HARRISON WORLEY  |  WEDNESDAY, 21 AUG 2019
... firm appointed Bank Australia director Michelle Somerville as an independent non-executive director from October 1. An audit partner at KPMG Australia for nearly 14 years, Somerville also sits on the board of real estate investment trust GPT Group. IOOF ...
Salary sacrifice loophole bill insufficient: ISA
KRISTI CHENG  |  MONDAY, 19 AUG 2019
... insufficient monitoring and lack of enforcement of SG non-payment by the ATO is another key cause, with the Australian National Audit Office noting in its 2015 audit of the ATO, "the SG Scheme operates largely without the intervention of the ATO". ISA ...
ASIC to crack down on platform fees
ELIZABETH MCARTHUR  |  WEDNESDAY, 14 AUG 2019
... the names of policies and procedures used by individual platforms to prepare fee disclosure statements and monitor and audit compliance with fee disclosure obligations. This included requiring platforms to disclose how they prepare renewal notices, record ...
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