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Independent Certification for insurance in super

Wednesday 22 September 2021


 
This week Australia’s prudential regulator has indicated that intend to go ahead with the independent certification requirement for related party arrangements when it comes to insurance in superannuation.

However, in letter to the superannuation industry, the Australian Prudential Regulatory Authority (APRA) they indicated that the requiremen...

By Kwame Slusher

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Podcast: Director Profile with Julie Winkler

Tuesday 21 September 2021




GRC Institute Director Julie Winkler talks about her professional development and her career on the GRC Professional Podcast.


GRC2021 Conference Registrations

Click here to register for GRC2021 Conference.    

By Kwame Slusher

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Penalties 13 September-17 September

Friday 17 September 2021






The securities regulator has permanently banned Ross Andrew Hopkins from providing financial; l services after being convicted of the 15 dishonesty offences. 

Hopkins has also been sentenced to six years in prison. 

Australian Securities and Investments Commission (ASIC) made three allegations against the former adviser for conduct be...

By Kwame Slusher

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The DDO Requirements

Friday 17 September 2021





 This week saw the securities regulator publish additional information of the design and distribution obligation obligations that are meant to come into force on 5 October.

On the regulator’s ‘what the financial industry needs to know page’ the securities regulator breaks down the consultations restatement of expectations and some FAQs for...

By Kwame Slusher

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Assessments to be Kept in Context

Friday 17 September 2021





Hunt & Hunt Lawyers Partner Andrew Ham told the GRC News Page that the recent industry risk assessments had been long awaited by the reporting entities. 

Recently the Australian Financial Intelligence Unit published industry assessments on key financial industries covered under the anti-money laundering and counter terrorist financing act....

By Kwame Slusher

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False & Misleading and CCI criminal Proceedings

Friday 17 September 2021


 


This week saw two banks facing criminal prosecutions for false and misleading conduct. 

A Failure in Systems and Processes

On Wednesday of this week the Australian Securities and Investments Commission (ASIC) highlighted that fact that ME Bank was before the Federal Court for false and misleading representations in relation to communic...

By Kwame Slusher

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Podcast: IFCA 2021

Thursday 16 September 2021





GRC Institute CEO Naomi Burley talks about the upcoming IFCA conference and the importance of professional development .

Mentioned in podcast IFCA Conference: 



Global Compliance and the Rule of Law:


By Kwame Slusher

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Podcast: Responding to Risks Posed by the Corporate Purpose Trend W/Phil Preston

Wednesday 15 September 2021





This week the GRC Professional Podcast hosts a guest presentation from Phil Preston on purpose.

The rapid trend to purpose in business is driving a quantum shift in the way companies need to govern and manage themselves. What i...

By Kwame Slusher

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Podcast: GRC2021-Raising the Bar

Friday 10 September 2021



GRC Institute CEO Naomi Burley talks about the GRC2021 Annual Conference: Raising the Bar- New thinking for new times. This year the conference will be held virtually on the 28 -29 October.

Hope to see you there!

To register click here

By Kwame Slusher

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Penalties 6 September - 10 September

Wednesday 8 September 2021




The federal court has found the First Choice Fund of Colonial First State made false and misleading representations on 12, 978 occasions. 

The Australian Securities and Investments Commission (ASIC), “Superannuation fund members need to receive clear and accurate information to make informed decisions. ASIC alleged Colonial made misleading r...

By Kwame Slusher

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