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Showing 61 - 70 of 340 results for %22Regulatory Guide%22

BlackRock Australia expands client distribution team

CHLOE WALKER  |  THURSDAY, 18 NOV 2021
... considerations in the portfolio construction process, risk management, trading and liquidity management, and the impact of regulatory changes. With over 15 years of experience in investment banking and a track record of delivering derivative-based capital ...

BTC Markets adds to advisory board

ANNABELLE DICKSON  |  TUESDAY, 16 NOV 2021
... cryptocurrencies and outlined 12 recommendations. "Following the release of Senator Bragg's report supporting monumental regulatory change to the Australian crypto space, David and Garry will play a vital role in guiding BTC Markets through the implementation ...

APRA finalises framework for insurance in super

ELIZABETH MCARTHUR  |  FRIDAY, 12 NOV 2021
... revisions to Prudential Standard SPS 250 Insurance in Superannuation (SPS 250) and the accompanying Prudential Practice Guide SPG 250 Insurance in Superannuation (SPG 250). The regulator said these revisions are aimed at ensuring better member outcomes ...

ASIC smooths path for crypto ETFs

ELIZABETH MCARTHUR  |  MONDAY, 1 NOV 2021
... characteristics and risks that must be considered by product issuers and market operators in meeting their existing regulatory obligations," ASIC commissioner Cathie Armour said. "The good practices we published provide practical examples of how these ...

Unlisted asset valuation processes largely inadequate: APRA

JAMIE WILLIAMSON  |  WEDNESDAY, 27 OCT 2021
... ability to determine or influence decisions, introducing a clear potential for conflicts of interest. " Prudential Practice Guide SPG 531 Valuation makes clear that valuation decisions and committees should occur independently of investment decision-makers. ...

Crypto regulation proposed: Bragg

ANNABELLE DICKSON  |  THURSDAY, 21 OCT 2021
A Senate committee is proposing a regulatory framework for digital assets and crypto-asset businesses to protect consumers, promote investment in Australia and deliver competition, but the industry has concerns. The Select Committee on Australia as ...

IDII pitfalls advisers should avoid

KARREN VERGARA  |  WEDNESDAY, 22 SEP 2021
... objectives and needs and that the recommendation must be reasonable in the client's relevant circumstances." ASIC's Regulatory Guide 175 emphasises the importance of undertaking an investigation into clients' relevant circumstances, along with analysing ...

APRA to mandate independent certifications

KARREN VERGARA  |  WEDNESDAY, 22 SEP 2021
... that the arrangements and policies entered into are in the best interests of members and otherwise satisfy legal and regulatory requirements within a fixed timeframe. APRA said it will proceed with the requirement for independent certification for related-party ...

AFA chief outlines vision

KARREN VERGARA  |  TUESDAY, 21 SEP 2021
... who have run successful practices but are being overwhelmed by increasing compliance costs and other legislative and regulatory changes impacting on products and how they can be offered. It is hardly surprising then that another disturbing trend is emerging ...

Super funds not ready for IDR

ELIZABETH MCARTHUR  |  FRIDAY, 3 SEP 2021
... requirements," ASIC reported. Funds have work to do on applying an expanded definition of 'complaint', under the new regulatory guide, too. ASIC also said more work is needed to implement the new maximum timeframes for IDR responses. ASIC's survey found ...