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Showing 51 - 60 of 61 results for "Class Order"

ASIC releases policy and extends deadline on dollar disclosure

... unreasonably burdensome or not in the client's best interest. In the policy statement AISC has also specifically included class order relief for certain items including disclosure items contingent on unknown facts or circumstances; costs of derivatives ...

Wholesale foreign financial service providers get ASIC relief

... the US Commodity Futures Trading Commission (CFTC) to hold an Australian financial services license (AFS). Under the class order: US CFTC regulated financial services providers, those exempt from holding an AFS include futures commission merchants, introducing ...

ASIC rules out exemptions to Statements of Advice

... these requirements in time critical situations, and is looking at the possibility of extending some provisions of its Class Order providing for Statements of Additional Advice, the FPA said. The FPA said it is working with ASIC towards achieving its ...

ASIC relaxes requirements on licensee cash deposits

The Australian Securities and Investments Commission (ASIC) issued a new class order on Tuesday allowing Financial Services licensees to deposit client money into a cash common fund. The regulator said in certain circumstances, corporations law required ...

FSG; a step towards simplicity

The Australian Securities and Investments Commission (ASIC) has issued a class order outlining a more simple compliance regime under the Financial Services Guide (FSG) for financial advisers of retail clients. The class order, Information in a Financial ...

ASIC eases disclosure requirements on managed investment warrants

The Australian Securities and Investments Commission (ASIC) has issued a new class order easing disclosure requirements for ASX-traded warrants on managed investment products. Under the new order, disclosure requirements will be aligned with those applying ...

ASIC releases eLicensing V.4 and AFS Licensing Kit

The Australian Securities and Investments Commission (ASIC) today released the fourth version of its eLicensing system - together with an updated version of the Australian financial services (AFS) Licensing Kit - for entities wishing to apply for an ...

ASIC releases new policy on takeover relief

... Act). Significant new policies include clarifying that a partly paid share is in the same class as a fully-paid share, class order relief for companies that enter into listing rule escrows with holders, and class order relief so that employee share scheme ...

ASIC releases updated industry guides for AFS licence applicants

The Australian Securities and Investments Commission (ASIC) today released updated versions of its industry-specific guides, which are designed to help industry participants in the process of applying for an Australian financial services (AFS) licence. ...

ASIC releases class order exemption relating to AFSL requirements

The Australian Securities and Investments Commission (ASIC) has released a class order exemption relating to the requirement to hold an Australian financial services licence (AFSL) for the provision or giving of financial product advice in certain documents. ...