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Showing 61 - 70 of 142 results for "Regulatory Guide"

CommInsure misled FOS: Royal Commission

KARREN VERGARA  |  THURSDAY, 13 SEP 2018
... transparent in its dealing with FOS and as a result, did not comply with FOS' terms of reference or ASIC regulatory guide 139, which explains what's expected of parties involved in a dispute resolution process. Troup explained CMLA was "misguided" ...

Confidence remains in face of regulatory headwinds

JAMIE WILLIAMSON  |  FRIDAY, 31 AUG 2018
... regulation as their biggest impediment. The recent introduction of Attribution Managed Investment Trusts (AMIT) and Regulatory Guide 97 (RG97) in Australia, the European Union's (EU) Markets in Financial Instruments Directive (MiFID II) and General Data ...

Super fees outpace asset growth: Research

KARREN VERGARA  |  MONDAY, 13 AUG 2018
... report said the annual increase in headline fees is largely attributable to the change in fee disclosures under Regulatory Guide 97. An estimated $2.2 billion in fee increase is a result of such changes, of which $2 billion or 90% affected not-for-profit ...

ASIC provides guidance on Asia Funds Passport

KARREN VERGARA  |  WEDNESDAY, 1 AUG 2018
ASIC has updated its regulatory guides to reflect changes from the Asia Region Funds Passport bill that was recently passed. On June 28, the Federal Government passed the Corporations Amendment (Asia Region Funds Passport) Bill 2018 in an effort to ...

Industry bodies respond to RG97 review

KARREN VERGARA  |  THURSDAY, 26 JUL 2018
... recommendations aiming to overhaul fee and cost disclosure practices of superannuation funds and managed investments under Regulatory Guide 97. Darren McShane, appointed by ASIC to spearhead the independent review, urged the industry to consider the ...

ASIC unveils RG97 review

KARREN VERGARA  |  TUESDAY, 24 JUL 2018
... independent report proposing 34 changes to fee transparency for superannuation funds and managed investments under Regulatory Guide 97. The report, prepared by managed investments and super regulation veteran Darren McShane, engaged more than 120 stakeholders ...

Advice and stock broking firm fined $35k

HARRISON WORLEY  |  WEDNESDAY, 13 JUN 2018
... to conceal information from the regulator about the origin of orders. However the regulator added that while Regulatory Guide 223 acknowledges there may be situations where a unique notation may not be available to provide, it is responsibility of the ...

ASIC consults on advice code monitoring bodies

JAMIE WILLIAMSON  |  TUESDAY, 15 MAY 2018
... minimise costs and the duplication of work. The consultation period will run until 28 June 2018 with a final regulatory guide to be released in September. Consultation on the draft code of ethics remains open until 1 June.

Crunch time for limited MDA advisers

KARREN VERGARA  |  WEDNESDAY, 14 MAR 2018
... transitioning clients to alternative options," he said. ASIC announced in 2016 it would terminate limited MDAs under Regulatory Guide 179. It now requires MDA providers to obtain a specific licence by 1 October 2018. Advisers should be careful not to ...

APRA unveils proposed RSE reform package

KARREN VERGARA  |  WEDNESDAY, 13 DEC 2017
APRA has announced a raft of proposed changes that will ensure registrable superannuation entities are ultimately delivering the best outcomes for members. The regulator said it is ramping up its scrutiny of the performance and efficiency of RSE's business ...

Editor's Choice

Former chief financial officer at Rest returns in new role

VINNY VUCAGO  |   11:16AM
Rest is welcoming back it's former chief financial officer as its inaugural chief commercial officer.

Macquarie chair provides 'cautious' outlook at AGM

ELIZA BAVIN  |   12:36PM
Macquarie Group has provided its first quarter update at its AGM, with outgoing chief executive Shemara Wikramanayake describing trading conditions as "satisfactory".

GDG delivers 36% jump in FUM

RIDDHIMA TALWANI  |   12:36PM
Generation Development Group has reported strong growth to the year ending June 30.

Aussie Olympian's brother sentenced over crypto scam

RIDDHIMA TALWANI  |   12:30PM
The brother of Australian breakdancing Olympian 'Raygun' has been sentenced 12 months' imprisonment for his role in a global cryptocurrency scam.

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