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Showing 151 - 160 of 203 results for "Consultation Paper"

ASIC raises bar on OTC derivatives

MELANIE TIMBRELL  |  WEDNESDAY, 1 AUG 2012
... than two months, they will be required to report to clients. The changes are fairly consistent with ASIC's consultation paper released in May last year, with a slight acceleration in timetable.

AFA releases draft code of conduct

BEN COLLINS  |  THURSDAY, 19 JUL 2012
The Association of Financial Advisers has released a member consultation paper outlining their draft professional adviser code of conduct. The draft was released with a view to it being finalised before the Australian Securities & Investments Commission ...

Fix churn with watch list: AFA

MELANIE TIMBRELL  |  MONDAY, 16 JUL 2012
... share information to establish who the churners are and create the list accessible to stakeholders. The FSC Consultation Paper on Replacement Business Framework has sparked debate over how the practice of 'churning' should be managed. While a recent ...

UK to ban platform payments

ALEX DUNNIN  |  THURSDAY, 28 JUN 2012
... would impose $30 million in extra direct costs. The UK wealth industry is split in their reaction to the FSA consultation paper with many highly supportive and many opposed.

Research houses to step up transparency

BEN COLLINS  |  MONDAY, 14 MAY 2012
There have been calls for more transparency and accountability in response to ASIC's consultation paper on the regulation of research report providers and research houses. Released in November last year, Consultation Paper 171, 'Strengthening the regulation ...

Market solutions favoured in OTC derivative reform

MELANIE TIMBRELL  |  FRIDAY, 20 APR 2012
... appropriate regulatory incentives to comply with a G20 commitment on OTC derivatives. The Government released the consultation paper yesterday outlining the proposed next steps in the implementation of legislative changes to comply with G20 commitments ...

ASIC steps back from social media hard-line

MELANIE TIMBRELL  |  MONDAY, 27 FEB 2012
... advertising guidelines from the Australian Securities & Investments Commission take a step back from the original consultation paper, which outlined an expectation that online advertisements and social media posts should be self-contained. Policy submissions ...

ASIC releases hedge funds guidance

ELISE BURGESS  |  THURSDAY, 23 FEB 2012
... hedge funds in its consultation draft regulatory guidance with the intent to improve investor risk awareness. Consultation Paper 174 Hedge Funds: Improving disclosure - Further Consultation (CP 174) outlines the risks and features of hedge funds that ...

Research houses in regulatory spotlight

CLAIRE MCGREAL  |  WEDNESDAY, 16 NOV 2011
... separate research houses from their business units to ensure conflicts of interest are properly managed. The consultation paper was developed over concerns about the independence and quality of research reports. Under the ASIC proposals, research houses ...

ASIC releases equity market structure paper

ELISE BURGESS  |  MONDAY, 24 OCT 2011
Submissions are now being received for ASIC's second-phase consultation paper on equity market structure issues assessing the latest developments in Australia's financial markets. Looking at proposed market integrity rules for a variety of products ...