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Search ResultsShowing 31 - 40 of 82 results for "Regulatory Guide 97"
ASIC consults on new statement of advice
EMMA RAPAPORT  |  WEDNESDAY, 31 MAY 2017
ASIC is now consulting with the financial services industry on a new example statement of advice for life insurance. The regulator's latest consultation paper seeks feedback on the new example Statement of Advice (SOA) and related updates to the guidance ...
IRESS partnership aids RG 97 compliance
KARREN VERGARA  |  WEDNESDAY, 31 MAY 2017
Financial technology provider IRESS announced a partnership that will help clients analyse trades efficiently and become more RG 97 compliant. Clients of both IRESS and global financial technology company ITG will benefit from a faster and more comprehensive ...
ASIC releases RE compliance obligations
KARREN VERGARA  |  TUESDAY, 28 MAR 2017
... maintain adequate risk management systems to avoid any adverse consequences for investors. ASIC's recently released regulatory guide - RG 259 Risk Management systems of responsible entities - provides responsible entities additional guidance in complying ...
Custodians turn attention to CIVs and MITs
DARREN SNYDER  |  THURSDAY, 9 FEB 2017
The Australian Custodial Services Association will focus its attention around improving the local funds management sector to increase its global competitiveness in 2017. Speaking to its 2016: Year in Review report, ACSA said it will specifically focus ...
NAB aiding RG97 compliance
JAMIE WILLIAMSON  |  TUESDAY, 7 FEB 2017
NAB Asset Servicing launched its RG97 Reporting Suite to clients, providing investors and members with heightened transparency on fees and costs. The new product, which is the latest in the Asset Servicing division's range of regulatory products and ...
MDAs overhauled by new regulations
JAMIE WILLIAMSON  |  FRIDAY, 30 SEP 2016
The operation of limited MDAs is to be terminated under new, long-awaited regulatory reforms released by ASIC yesterday. The regulator has made amendments to Regulatory Guide 179, the most significant being the removal of the regulated platform no-action ...
Fears of increased compliance costs misguided
JAMIE WILLIAMSON  |  THURSDAY, 8 SEP 2016
A financial services technology firm says transparent risk and governance measures have always been fundamental to the delivery of 'true' digital financial advice. Decimal believes compliance should already be at the core of robo-advice platforms utilised ...
ASIC consults on robo regulation
ALEX BURKE  |  MONDAY, 21 MAR 2016
ASIC has released a draft regulatory guide and consultation paper for the robo-advice sector. The guide addresses industry concerns about and expectations for digital advice. It suggests robo-advice providers must hold an Australian financial services ...
ASIC spots PI insurance gaps
ALEX BURKE  |  TUESDAY, 15 DEC 2015
ASIC has completed its review of the professional indemnity insurance market for advisers in the eight months to June 2015. The report said the market is "stable and generally available," but there are gaps "between what ASIC expects and some of the ...
New super transparency rules spark controversy
LAURA MILLAN  |  WEDNESDAY, 25 NOV 2015
ASIC's updated fee and cost disclosure requirements for superannuation funds have sparked controversy among industry stakeholders. The regulator released Regulatory Guide 97 Disclosing fees and costs in PDSs and periodic statements, which includes a ...
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