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Showing 61 - 70 of 139 results for "Regulatory Guide"

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 ...

ASIC widens conflicted adviser remuneration rules

ALEX BURKE | THURSDAY, 7 DEC 2017

... reforms and to address specific concerns. Issued ahead of the life insurance framework deadline on January 1, Regulatory Guide 246 (RG 246) takes into account the additional provisions introduced in the Corporations Amendment (Life Insurance Remuneration ...

ASIC remains firm on IFA definitions

DARREN SNYDER | TUESDAY, 14 NOV 2017

... its position on terminology used to describe the independence of financial advisers. ASIC's latest update to Regulatory Guide 175 (RG 175) confirms that terms such as "independently owned", "non-aligned" and "non-institutionally owned" can only be used ...

RG97 effects inconsistent: Rainmaker

KARREN VERGARA | WEDNESDAY, 8 NOV 2017

The effects of fee disclosure reforms under Regulatory Guide 97 have trickled through market segments and asset classes revealing uneven results, Rainmaker's research shows. A high level analysis shows not-for-profit (NFP) superannuation funds have ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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