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Showing 1 - 10 of 23 results for "Conduct Review"

Most trustees pass Canva valuation test: APRA

KARREN VERGARA  |  MONDAY, 4 SEP 2023
Most superannuation funds are appropriately valuing their investments in Canva, according to APRA, which used its high-profile and whipsaw valuation in 2022 to see if they are abiding by its unlisted asset valuation requirements. Canva was at the forefront ...

AMP swears it will change

ELIZABETH MCARTHUR  |  FRIDAY, 11 SEP 2020
... and inclusive" workplace in the wake of a spate of scandals. Yesterday AMP announced a comprehensive workplace conduct review would be conducted by Symmetra - a consultancy that specialises in inclusion and diversity. "The review will objectively assess ...

Industry Fund Services adopts regtech solution

KRISTI CHENG  |  FRIDAY, 13 SEP 2019
Industry Fund Services has partnered with a regulatory technology company to automate its risk management and compliance processes. IFS will work with Advice RegTech to pioneer the launch of a "leading-edge" regulatory compliance checking technology ...

FPA shuffles CRC leadership

HARRISON WORLEY  |  FRIDAY, 12 APR 2019
The Financial Planning Association of Australia has welcomed a new chair to lead its Conduct Review Commission. The FPA has shuffled the leadership of its Conduct Review Commission, with former deputy chair Dale Boucher appointed chair at the beginning ...

FPA disciplines two members

HARRISON WORLEY  |  MONDAY, 4 MAR 2019
... Association of Australia members have faced immediate sanctions following determinations from the association's Conduct Review Commission. On Friday the FPA said two members would be stripped of their membership and professional designations for a period ...

FPA reviews disciplinary regulations

JAMIE WILLIAMSON  |  WEDNESDAY, 12 DEC 2018
... Financial Planning Association of Australia is introducing updated regulations from 1 January 2019. Conducted by FPA Conduct Review Commission (CRC) deputy chair Dale Boucher, the review looked at the process and governance of regulations, such as issues ...

FPA honours top advisers

KARREN VERGARA  |  THURSDAY, 22 NOV 2018
... has undertaken a review of its disciplinary regulation led by Dale Boucher, the current deputy chair of the FPA's Conduct Review Commission and former chair of Tax Practitioners Board. The review made recommendations addressing confidentially and publications ...

FPA fines Henderson $50k

KARREN VERGARA  |  WEDNESDAY, 14 NOV 2018
... Henderson for breaching its professional code of conduct nine times. The FPA's independent disciplinary body, the Conduct Review Commission (CRC), determined the former chief executive of Henderson Maxwell did not place his client's interests ...

FPA finds Sam Henderson guilty

KANIKA SOOD  |  THURSDAY, 11 OCT 2018
... professional practice. The determination was delivered this afternoon by the FPA's independent disciplinary body, the Conduct Review Commission (CRC). The association said Henderson will be sanctioned as a result, with the CRC to release details ...

Uncertainty abounds future of advice regulation

JAMIE WILLIAMSON  |  TUESDAY, 1 MAY 2018
... membership renewal time. It does not receive notifications from ASIC. For those members that are referred to the FPA's Conduct Review Commission, the process is typically kept confidential, including the adviser's name. For the AFA, the Commission found ...
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