Search ResultsShowing 41 - 50 of 76 results for "Regulatory Guide 97"
Industry funds ask for specialised SMSF adviser training
LAURA MILLAN  |  THURSDAY, 3 OCT 2013
Industry superannuation funds associations are asking financial planners who provide self-managed superannuation fund (SMSF) advice to undertake a different and more specialised training than those who advice on funds regulated by the Australian Prudential ...
Advisers to justify platform choice under best interest
LAURA MILLAN  |  FRIDAY, 6 SEP 2013
Financial planners will have to justify platform choice under the best interest duty provision within the Future of Financial Advice (FoFA) regulation. The Australian Securities and Investments Commission (ASIC) has raised the issue that platform operators ...
Lonsec highlights hedge fund classification concerns
MARK SMITH  |  THURSDAY, 5 SEP 2013
Investment research house Lonsec has highlighted unintended consequences of ASIC's proposed new rules affecting hedge funds, which could see investors increase the risk in their portfolios. ASIC Regulatory Guide 240, which was released in September ...
ASIC mulls replacing adviser Training Register
ALICE URIBE  |  MONDAY, 19 AUG 2013
The Australian Securities and Investments Commission is considering replacing the ASIC Training Register for financial product advisers. In a Consultation Paper (Consultation Paper 215 Assessment and approval of training courses for financial product ...
Platforms to explain choice of investment products
LAURA MILLAN  |  MONDAY, 1 JUL 2013
The Australian Securities and Investments Committee (ASIC) has updated its platform guidance to require platform operators to explain how they choose the products on offer to investors. The new requirements follow the last review of the sector, which ...
ASIC to accept submissions for 'hedge fund' definition
LAURA MILLAN  |  THURSDAY, 23 MAY 2013
... funds that do not exhibit the same risks to investors as 'true' hedge funds, ASIC said. The commencement of the regulatory guide 'Hedge Funds: improving disclosure' has been postponed until February 1, 2014, to allow time for submissions. The currently ...
Is benchmarking being legislated?
LAURA MILLAN  |  MONDAY, 15 APR 2013
Benchmarking is close to being legislated, van Eyk's head of Strategic Research and Asset Consulting Jonathan Ramsay said during van Eyk's 10th annual conference last week. According to Ramsay, the Australian Securities and Investments Commission's ...
MDA guidance review will bring coherence and consistency
LAURA MILLAN  |  THURSDAY, 28 MAR 2013
Advisers and fund managers welcome the Australian Securities and Investments Commission (ASIC) review of Managed Discretionary Accounts (MDA) guidance as it will bring coherence and consistency to an under-regulated sector. "The review is a good thing ...
ASIC releases draft super benefits calculator guidelines
ALEX DUNNIN  |  WEDNESDAY, 20 MAR 2013
ASIC has issued a discussion paper on its proposed policy for superannuation forecast calculators that clarifies assumption the regulator wants fund trustees to include. The paper also outlines what guarantees of protection they will grant if fund promoters ...
Managed accounts set for an overhaul
LAURA MILLAN  |  MONDAY, 11 MAR 2013
For the first time in nine years, the country's financial services regulator is placing the managed accounts sector through a comprehensive review, addressing grey areas and fixing major drawbacks that have long derailed the sector's growth. Institutions ...
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