Search Results | Showing 1 - 10 of 82 results for "Design and distribution obligations" |
| | | ... financial services, breaching product disclosure requirements, and failing to comply with design and distribution obligations (DDO) in relation to Finder Earn. ASIC argued that Finder Earn was in essence a debenture and should fall under its regulatory ... |
| | | | ... and triage mechanism is," she said. She described it as an "advice intervention" akin to the design and distribution obligations. SMSFA chief executive Peter Burgess, who also appeared on the thought leadership panel, would like to see the QAR extend ... |
| | | | ... such. It highlighted that wholesale investors are excluded from retail protections, including Design and Distribution Obligations (DDO), bans of conflicted remuneration, dispute resolution mechanisms, and access to a compensation scheme of last resort ... |
| | | | ... "The licencing regime requires financial services businesses to meet important disclosure, design and distribution obligations," Court said. "Anyone dealing in a financial product or providing financial advice must have an AFS licence or be appropriately ... |
| | | | ... against Bit Trade, provider of crypto exchange Kraken, following alleged failures to adhere to design and distribution obligations for margin products offered to Australian customers. Since the introduction of the design and distribution obligations ... |
| | | | ... options and other high-risk products that flout their target market determinations (TMD), and design and distribution obligations (DDO). The newly published Report 770 Design and distribution obligations: Retail OTC derivatives found that most issuers ... |
| | | | ASIC has proposed a five-year extension to the design and distribution obligations (DDO), the instrument for which was originally set for a two-year period. DDO was introduced following a recommendation from the 2019 Financial System Inquiry to compel ... |
| | | | ... for difference (CFD) market to send a message to the industry about the importance of the design and distribution obligations (DDO). During her introductory speech at the General Counsel Summit, ASIC deputy chair Sarah Court said if the regulatory body ... |
| | | | ASIC has launched legal proceedings against eToro, alleging breaches of design and distribution obligations regarding its contract for difference (CFD) product. The case focuses on the appropriateness of eToro's target market, and the screening ... |
| | | | ... like Calastone and Clearstream into the Australian market, and regulatory disparities in the Design and Distribution Obligations (DDO) between unlisted funds and ETPs, have all contributed to the reassessment of mFund's viability. Regardless of these ... |
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