Search Results | Showing 11 - 20 of 117 results for "Responsible entities" |
| | | ... provide personal advice on relevant financial products to retail clients (22%), credit providers (15.3%), responsible entities (13.7%), superannuation trustees (12.9%), and all other sub-sectors ( |
| | | | ... is making it possible to lodge 35 'paper-only' documents by email, including forms related to changes to responsible entities and managed investment schemes. The regulator said the move is designed to streamline interactions and reduce administrative ... |
| | | | ... participants comply with their obligations in a booming market. RG 282: Exchange-traded products targets issuers, responsible entities and market operators. In the guide, ASIC sets out general obligations for issuers, such as responsible entities of ... |
| | | | ... Equity Trustees recently wrote to Mulino to detail its view that the critical point of failure rests with the responsible entities of the two collapsed schemes. He said the group has recommended key changes to legislation to ensure the independence of ... |
| | | | ... astonishing that no one bothered at any time to check on the performance of what were new schemes by relatively new responsible entities," he says. It's his view that had ASIC flexed the muscle given to it under 601FF, it would have spotted the issues ... |
| | | | Responsible entities (REs) of managed funds lack robust risk management practices when it comes to the cyber and security risks relating to services they offshore, according to ASIC. A review of 30 REs found that more than half or 17 rely on offshore ... |
| | | | ... to logging, investigating, managing and responding to those concerns. ASIC deputy chair Sarah Court said responsible entities are responsible for the governance of investor funds and, as such, must have proper processes, procedures and policies in place ... |
| | | | ... stated in the rating note. "In our opinion, the separation of investment teams, governance role of external responsible entities (separate for debt and equity interests), use of external valuation agents and the inbuilt protection mechanisms in typical ... |
| | | | ... for those affected by the misconduct of now banned financial advisers and allegedly fraudulent promoters, responsible entities and managers, and continue to provide access to counselling and wellbeing support and information." Further, O'Brien said ... |
| | | | ... Guardian scandals show, failings in the financial sector often incorporate a range of players, including responsible entities, investment managers, research houses, superannuation funds, platforms, advice licensees, advisers and auditors," she said. ... |
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