Search Results | Showing 31 - 40 of 82 results for "Design and distribution obligations" |
| | | ... However, she said the risk is diminished by other recent reforms, including anti-hawking, design and distribution obligations, and caps on some commissions. "A financial adviser is an intermediary who has undertaken to provide advice in the best interests ... |
| | | | ... In addition, ASIC said that the TMD didn't meet the appropriateness requirements under its design and distribution obligations (DDO). "The distribution conditions in the TMD were not specific enough to ensure the fund is distributed to consumers in the ... |
| | | | ... funds, and it could take further regulatory action. To date, ASIC has used its powers under the design and distribution obligations (DDO) regime to place 10 interim stop orders. It said four orders have been lifted following actions taken by the entities ... |
| | | | ... requirements for the TMD. "APIL also did not meet the appropriateness requirements under the design and distribution obligations (DDO) because the distribution condition was inadequate. APIL's distribution condition relied solely on investors' ... |
| | | | ... Meanwhile, ASIC found the Private Property Trust No.20 did not meet requirements under the design and distribution obligations (DDOs) because it did not adequately describe the class of retail clients in the intended market or specify mandatory review ... |
| | | | ... financial barrier. It further highlighted removing ambiguity regarding the application of the design and distribution obligations and target market determinations to SMSFs. "These provisions should not apply to establishing an SMSF, adding a new member ... |
| | | | ... customers find most useful," she writes. Further, Levy suggests the reporting requirements for the design and distribution obligations should be simplified by only requiring relevant providers to report to the product issuer where they have received ... |
| | | | ... and needs of consumers in the target market. "ASIC is now focusing on compliance with the design and distribution obligations, and we will move to enforce the obligations where necessary." ASIC concluded that TMDs are an important requirement for all ... |
| | | | ... misleading or deceptive representations in advertising and further stop orders for breaches of the design and distribution obligations. The initial order, handed down in late July, prevents RES from advertising or publishing any statement regarding PPM ... |
| | | | ... target market determinations. In what marks its first use of its stop order powers under the design and distribution obligations, ASIC has placed interim stop orders on Responsible Entity Services Limited (RES) and two UGC Global Group companies, UGC ... |
|
