Search Results | Showing 51 - 60 of 340 results for %22Regulatory Guide%22 |
| | Financial advisers are calling out the federal government's regulatory backflip, which floated the idea that the industry can operate under a principles-based regime. Synchron general manager of compliance Phil Osborne said the proposed framework put ... |
| | | ... voluntary survey to medium-to-large entities in its remit, asking them to assess themselves against Prudential Practice Guide CPG 229 Climate Change Financial Risks which came out last November. "The survey assesses the alignment between current entity ... |
| | | ASIC has opened consultations on remaking the relief contained in product disclosure statements and financial services guides. Under Consultation Paper 358 Remaking ASIC relief on PDSs, superannuation dashboards and FSGs, the corporate regulator is ... |
| | | ... merger and exit activity across the sector, the regulator said. As part of this, APRA will be reviewing Prudential Practice Guide SPG 227 Successor Fund Transfers and Wind-ups with a view to developing new requirements to apply from 2023 in the event ... |
| | | ASIC is proposing to overhaul the naming conventions of exchange-traded products so that the names are "true to label". The corporate regulator argued that ETPs have different structures, features, strategies, and risks compared to listed investment ... |
| | | ... across the US. It recently imposed 20 sanctions against current or former CFP professionals. This misconducts included regulatory actions, firm terminations, customer complaints, arbitrations, and civil court litigation that involve professional conduct ... |
| | | ... require more resources for funds, but instead a more strategic approach to reporting. Campo added: "Obviously, the regulatory environment is also pointing to that focus around member outcomes. And so that's certainly very compatible with integrated ... |
| | | ... light by the Queensland Parliament. The planned merger is due to finalise on 28 February 2022 pending final board, regulatory and legislative approvals. Australian Retirement Trust will be headquartered in Queensland, with offices around Australia. It ... |
| | | ... of whether the advice is limited or comprehensive in scope," ASIC said. INFO 267 and the sample SOA summarises Regulatory Guide 175 Licensing: Financial product advisers-Conduct and disclosure (RG 175) and Regulatory Guide 244: Giving information, general ... |
| | | ... good understanding of how to respond," he said. "CPG 229 is a direct response to their request for more clarity about regulatory expectations and examples of better industry practice." Recognising the diversity of APRA-regulated entities, however, the ... |
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