The Australian Securities and Investments Commission has granted planning licensees a three-year exemption from the requirements to have planners sign up to a code-monito...

The Australian Securities and Investments Commission has urged a ‘sense of urgency’ be applied by companies to their non-financial risks, including compliance risk. ...

IOOF has appointed Amanda Noble as chief risk officer in a newly-expanded role. ...

The Australian Prudential Regulation Authority has imposed new conditions on AMP’s superannuation businesses including board renewal and removal of conflicts of interest....

ASIC has released the final report on the Commonwealth Bank’s compliance with additional licence conditions that were imposed regarding advice compensation, written by Ko...

There is more demand for risk and compliance professionals than any other role in wealth management, according to SUPER Recruiters’ executive director. ...

AMP Limited has signalled how it intends reshaping its adviser network with productivity and professionalism trumping actual adviser numbers....

AdviserLogic has joined the RegTech space and launched AdviserLogic Dashboards, which would allow AFSLs to monitor the compliance of their advisers. ...

ASIC has imposed additional conditions on the Australian financial services licence of Kaz Capital, following concern on the adequacy and effectiveness of the company’s c...

The Financial Adviser Standards and Ethics Authority has been urged to give professional associations leadership on continuing professional development with the SMSF Asso...

NEOS Life has appointed financial technology and infrastructure company, Sargon, as the new trustee of its Super Plan....

NAB chief executive, Andrew Thorburn, has defended some fees for no service charged by the bank as a “process issue” rather than dishonesty, as he came under fire at the ...

The Finance Sector Union has called for the current move to professionalisation to be extended beyond just planners, but has warned that there are issues with an industry...

Financial planners who breach the industry’s new code of conduct will face the ultimate sanction of exclusion from the industry under arrangements outlined in a new Finan...