Search Results | Showing 91 - 100 of 1070 results for "licensees" |
| | | ... events in superannuation, the regulator outlines that it intends to enhance the prudential framework to require RSE licensees to, ensure the board approves the amount held for the components, determine how the financial resources to meet each component ... |
| | | | ... introduce requirements in Prudential Standard SPS 515 Strategic Planning and Member Outcomes (SPS 515) to ensure all RSE licensees are appropriately prepared to transfer, or receive, members, elevating previous guidance. Specifically, SPS 515 will require ... |
| | | | ... Professional Year requirements and achievements. Developed by TAL's Risk Academy team, in collaboration with several licensees, PY Manager allows licensees, financial advisers and new entrants to review and manage their Professional Year details. Through ... |
| | | | ... been engaging closely with industry about how best to implement stage one, with a view to ensuring the obligation on licensees to register financial advisers operates as efficiently as possible," Treasury said. "Through this engagement, ASIC has identified ... |
| | | | Just 6% of licensees lodged a breach report in the first nine months of the reportable situations regime, with ASIC raising concerns that licensees still lack the systems and policies to identify and address issues. ASIC has released insights from the ... |
| | | | ... entities to pay consumers a total amount of approximately $2.5 million. ASIC deputy chair Sarah Court said directors of AFS licensees must ensure that their firms comply with AFCA determinations. "This is a fundamental obligation of AFS licensees, and ... |
| | | | ... types of regulated activity, like having two sub-sectors within financial advice - in place of four. One would be for licensees providing personal advice to retail clients on relevant financial products and the other would be those who do not. Other ... |
| | | | ... "When I look back, one of the things that we got wrong was we didn't invest in the infrastructure for advisers and licensees to rely on," he said. "Our view at Diverger is that these challenges need to be solved and small advice businesses don't ... |
| | | | ... consumer and industry stakeholder s. The updated guide provides a clear direction on remediations and is underpinned by licensees' legal obligation to operate efficiently, honestly and fairly, the regulator said. Specifically, the updated RG 277 clarifies ... |
| | | | ... 2018, I would say resoundingly yes, it was a tougher time," he explained. "We had large, well capitalised institutional licensees embarking on multimillion-dollar mediation programs that were, frankly, breaking the rest of the market if it was to come ... |
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