Search Results | Showing 91 - 100 of 117 results for "Regulatory Guide" |
| | Portfolio disclosure remains a contentious issue for superannuation funds, after it was first flagged in the 2010 Cooper review. It will be a major issue explored at the Financial Services Council annual conference, to be held on 1-3 August at the Gold ... |
| | | Australian Securities & Investments Commission has partnered with New Zealand's Financial Markets Authority to implement mutual recognition arrangements for Australian and New Zealand advisers. The Trans-Tasman mutual recognition arrangements will enable ... |
| | | ... against any issuers found to be in breach of the client money provisions," he said. In July 2010, ASIC released Regulatory Guide 212 Client money relating to dealing in OTC derivatives (RG 212). The guide provides an overview of the statutory client ... |
| | | ... unrealistic and would restrict the use of new media," according to the ASIC response to submissions. While the regulatory guide now warns that physical limitations of a particular medium, such as the 140-character limit on Twitter, will not be an excuse ... |
| | | ... the long-standing risk concerns of investing in infrastructure entities in the new benchmarks and principles in Regulatory Guide 231 Infrastructure entities: Improving disclosure for retail investors (RG 231). RG 231 addresses nine benchmarks and eleven ... |
| | | ... the practical operation of the ban and finally around the regulator's own extended powers. "ASIC will re-issue Regulatory Guide 98 Licensing; Administrative action against financial services providers (RG 98) to reflect our expanded powers to cancel ... |
| | | ... for responsible entities of managed investment schemes, including minimum capital requirements, in its latest regulatory guide that wants to align entities with investor interests. In updated versions of Regulatory Guide 166 Licensing: Financial requirements ... |
| | | Financial services industry faces tighter restrictions as ASIC releases a consultation paper and draft regulatory guide containing best practice guidance for the advertising of financial products and advice. Greg Medcraft, ASIC chairman, told media ... |
| | | ... than a holistic approach has lead the Australian Securities and Investments Commission to propose a replacement regulatory guide. ASIC proposes that its Regulatory Guide 200 (RG 200) be replaced with a new, updated version, in particular reshaping guidance ... |
| | | ... financial information when complying with the new shorter product disclosure statement (PDS) requirements. Under Regulatory Guide 170 Prospective financial information, issuers of standard margin lending facilities, simple managed investment schemes ... |
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