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Showing 111 - 120 of 139 results for "Regulatory Guide"

ASIC extends shorter PDS regime relief

STAFF JOURNALIST  |  FRIDAY, 7 DEC 2012
... period for hedge funds will align with the commencement of new disclosure obligations for hedge funds under ASIC Regulatory Guide 240 Hedge funds: Improving disclosure (RG 240).

ASIC consults on code approval under FOFA

LINDA HAUSKEN  |  WEDNESDAY, 24 OCT 2012
... Australia's corporate regulator has existing power under the Corporations Act to approve codes of conduct, with Regulatory Guide 183 (RG 183), setting out its minimum expectations in this area. Consultation Paper 191 Future of Financial Advice: Approval ...

Treasury heavy handed on portfolio disclosure

BEN COLLINS  |  THURSDAY, 19 JUL 2012
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 ...

Aust advisers to get dual Aust-NZ recognition

LINDA HAUSKEN  |  MONDAY, 2 JUL 2012
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 ...

ASIC highlights CFD compliance issues

BEN COLLINS  |  FRIDAY, 1 JUN 2012
... 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 ...

ASIC steps back from social media hard-line

MELANIE TIMBRELL  |  MONDAY, 27 FEB 2012
... 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 ...

ASIC clears up infrastructure rules

ELISE BURGESS  |  TUESDAY, 24 JAN 2012
... 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 ...

ASIC releases FOFA guidance plan

ELISE BURGESS  |  TUESDAY, 13 DEC 2011
... 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 ...

ASIC: New regulations for responsible entities

ELISE BURGESS  |  TUESDAY, 8 NOV 2011
... 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 ...

ASIC tightens advice advertising

ELISE BURGESS  |  TUESDAY, 30 AUG 2011
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 ...