Search Results | Showing 11 - 20 of 117 results for "Regulatory Guide" |
| | ... financial system. A further $1.6 billion is yet to be paid to about 2.7 million consumers. ASIC has updated its Regulatory Guide 277 (RG 277) following two years of public consultation with both consumer and industry stakeholder s. The updated guide ... |
| | | ... undertaking surveillance of super funds' internal dispute resolution processes, examining compliance with Regulatory Guide 271 Internal dispute resolution (RG 271) which took effect last October. ASIC has so far analysed data from a selection of ... |
| | | ASIC has released long-awaited regulatory guidelines relating to the registration and licensing requirements for Corporate Collective Investment Vehicles ahead of its July 1 implementation date. The information sheet (INFO 272) and report (REP 728) ... |
| | | ... of whether the advice is limited or comprehensive in scope," ASIC said. INFO 267 and the sample SOA summarises Regulatory Guide 175 Licensing: Financial product advisers-Conduct and disclosure (RG 175) and Regulatory Guide 244: Giving information, general ... |
| | | ... objectives and needs and that the recommendation must be reasonable in the client's relevant circumstances." ASIC's Regulatory Guide 175 emphasises the importance of undertaking an investigation into clients' relevant circumstances, along with analysing ... |
| | | ... requirements," ASIC reported. Funds have work to do on applying an expanded definition of 'complaint', under the new regulatory guide, too. ASIC also said more work is needed to implement the new maximum timeframes for IDR responses. ASIC's survey found ... |
| | | ... line', while others have missed out by very thin margins. In a note to clients, Frontier pointed out that in ASIC Regulatory Guide 53 the regulator states: "Good past performance seems to be, at best, a weak and unreliable predictor of future good performance ... |
| | | ... including for the reporting of IDR data. Last July, the new IDR standards and requirements were published in Regulatory Guide 271 Internal dispute resolution (RG 271) and come into effect on October 5. Under it, efficient complaints handling became an ... |
| | | ... for shorter, simpler, and more user-friendly regulatory guidance from ASIC. As a result, INFO 256 will replace Regulatory Guide 245 Fee disclosure statements, which will be withdrawn," ASIC said. Senator Jane Hume announced last week that advisers will ... |
| | | ... would not be covered under the legislation. In December 2020, ASIC released a consultation paper on updating its regulatory guide in relation to consumer remediation. At the time, the regulator was monitoring over 100 remediations that could see $3.55 ... |
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