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Showing 51 - 53 of 53 results for %22DDO%22

Government moves to expand design, distribution laws

HARRISON WORLEY  |  FRIDAY, 13 SEP 2019
... service". The memorandum added that without the amendments made by the regulations, IDPS' "would not generally be" subject to the DDO regime. The government believes the broader sweep will ensure the obligations operate as intended both in relation to ...

Retail clients win under new ASIC powers: Lawyers

KARREN VERGARA  |  TUESDAY, 28 MAY 2019
... industry than previously expected." New and Battaglia urged industry participants to consider their obligations under the DDO and PIP laws now. ASIC will have the powers to proactively intervene in relation to financial and credit products by making ...

SIFMA talks up Wall Street cyber defences

ALEX DUNNIN  |  WEDNESDAY, 23 OCT 2013
The US Securities Industry and Financial Markets Association (SIFMA) has released its assessment report of their Wall Street cyber attack simulation and while it confirms their protocols performed adequately, it was the soft attack weapons that were ...
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