SEAN GRAHAM
Policy & Regulation
Compliance professionals working in financial services are facing burnout risk as higher workloads, coupled with the ever-changing regulation, place notable strain on sta...
Policy & Regulation
Financial advisers need to make sure all their new regulatory requirements are in place by October to avoid any scrutiny from the regulators, even if they aren’t receivin...
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ASIC has cancelled the AFS licence of a Sydney wealth firm, the fifth Sydney firm to see a cancellation since the start of the year....
3 weeks 4 days ago
More than 20 winners from the funds management industry have been crowned at this year’s awards....
2 weeks 5 days ago
ASIC has obtained interim orders from the Federal Court to freeze the assets of a registered managed fund and prevent its former director from leaving Australia. ...
1 week 5 days ago
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This isn't a shock at all. anyone who considers it a shock should familiarise themselves with all the pointless red-tape...
The presence of the Dixons Head of Advice who was also on the investment committee for Dixons, now works within Treasury...
As a recently retired, but over 40-year veteran of the advice industry your article doesn't surprise me at all. Most adv...