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Recent GRC Institute Graduate, Graeme Stevens, talks about his own shifting conception of the role of compliance throughout his professional journey.

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By Kwame Slusher

Executive Manager Risk & Compliance Consumer Distribution at Suncorp Group Jo Canavan talks about her professional development and the rewards of working with her team. Jo's team was awarded the Risk Team of the Year at the GRC 2021 Conference.

The Team

By Kwame Slusher

Friday 26 November 2021

Governance, risk culture, remuneration and accountability have to all work or none of them will be adequately effective.

Australian Prudential Regulation Authority (APRA) Deputy Chair  Helen Rowell explained in a recent address, “…it is important that organisations understand whether the various streams of GCRA are aligned and working togeth...

By Kwame Slusher

The Australian Prudential Regulation Authority (APRA) has ‘finalised’  a prudential  guide of managing financial risks of climate change.

The regulator added that APRA-Regulated entities are expected to begin using the guide immediately.

The prudential regulator said that the Prudential Practice Guide CPG 229  Climate Change Financial Risk...

By Kwame Slusher

The Australian Securities and Investments Commission (ASIC) has acted against the Australian & New Zealand Bank’s (ANZ)  introducer program.

The conduct regulator alleges that between  2016  to 2018 the member of the big four breached consumer  protection credit laws and that the bank may have also breached its obligations as Australian Credi...

By Kwame Slusher

Former Financial Adviser David Michael Fong has been charged with engaging dishonest conduct while engaging financial services in 2014.
Allegations as posted by the Australian Securities and Investments Commission (ASIC):

  • completed and submitted false information in clients’ insurance applications;
  • failed to adequately disclose fees...

By Kwame Slusher

The Australian Securities and Investments Commission (ASIC) the has taken MLC Limited to the Federal Court for policy and services failures which adversely affected more than 260,000 consumers.

The securities regulator said that this conduct  led to $17.5 million in  financial harm.

ASIC Deputy Chair Sarah Court said in an official stateme...

By Kwame Slusher

 The securities regulator is looking to help business remediate with ‘greater confidence and speed’ with the release of the consultation paper Consumer Remediation: further consultation  CP 350.           
This week the Australian Securities and Investments Commission (ASIC) released an updated draft guidance on consumer remed...

By Kwame Slusher

Speeches of Note 15 November -19 November
Australian Prudential Regulation Authority (APRA)  Chair  Wayne Byres speaking at the 2021 UBS Australasian Conference

Australian Prudential Regulation Authority (APRA) Executive Directo...

By Kwame Slusher

This Article was originally published
here by Control Risks.  

by Hannah Lilley, Director of the Russia & CIS Compliance, Forensics and Intelligence practice

Legal and compliance professionals across the globe should anticipate a new era which has the potential to broaden the mandate of their teams. The advent of ESG as a complia...

By Kwame Slusher