Search Results | Showing 271 - 280 of 1235 results for "licensees" |
| | | ... forum to ask questions about all areas of the entity's performance and operations." "The regulations ensure that RSE licensees are required to disclose an appropriate amount of information to members, while keeping compliance costs low to preserve ... |
| | | | ... such claims should carefully consider whether they are in breach of financial services laws. Finally, ASIC reminded licensees to ensure they effectively monitor and supervise any brokers that are operating as authorised representatives under their licence. ... |
| | | | ... to MobiSuper. "This practice was not focussed on what was best for the consumer. ASIC will continue to work to ensure licensees comply with the law and correctly monitor their corporate authorised representatives to prevent poor promotional behaviour," ... |
| | | | ... Elsewhere, its investor presentation showed the group will look to simplify in the coming 12 months, reducing its RSE licensees to one, funds to one, platforms to one to two and products to 20. Mota explained the business is still determining where those ... |
| | | | ... it will continue its simplification strategy with the aim of translating to scale. A forward target is to reduce RSE licensees to one, funds by one, platforms to one to two and products to 20. As recently announced the sale of its Australian Executor ... |
| | | | ... has also recommended the creation and application of retrospective regulations to cordon off and charge the six large licensees at the time - being AMP, Macquarie, ANZ, CBA, NAB and Westpac - directly under a separate and specific levy for the cost of ... |
| | | | ... authorisation status of existing advisers who have not passed by the relevant date. Following that, it will engage with licensees who have not removed advisers from the register as required. ASIC plans to engage with licensees and advisers to ensure ... |
| | | | ... previously reported by Financial Standard, ASIC issued a warning to finfluencers who discuss financial products and the licensees who use them, threatening substantial penalties of their content contravenes financial services law. Cognisant of more than ... |
| | | | ... Regulatory Portal for lodging reports. We will also consider whether further practical guidance should be developed to assist licensees in meeting their obligations," he said. He added that Treasury will also be engaged to determine how the regime is ... |
| | | | ... considerations are embedded and integrated across an RSE licensee's business operations." APRA said the outcomes sought by licensees are not always clearly defined in an objectively measurable way and some demonstrate limited consideration as to how ... |
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