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Showing 71 - 80 of 139 results for "Regulatory Guide"

ASIC reviews RG97 impact

KARREN VERGARA | THURSDAY, 2 NOV 2017

ASIC announced it will conduct an external review on the effects of the Regulatory Guide 97 fee disclosure reforms, and will again extend its previous September 30 compliance deadline. ASIC said the move was in response to the industry's outcry around ...

Fees dominate super choice, RG97 falling short: ISA

KARREN VERGARA | WEDNESDAY, 27 SEP 2017

... flexibility (60%). ISA public affairs director Matt Linden said the results are a sound warning to ASIC and the new Regulatory Guide 97 (RG97) rules about to take effect. Linden said new fee disclosure rules, while promising improvement, contained investment ...

Small licensees are PI insurance compliant: ASIC

KARREN VERGARA | WEDNESDAY, 30 AUG 2017

... aimed to determine if the licensees were complying with defence costs, fraud and dishonesty requirements under Regulatory Guide 126. Only three licensees were found to be problematic in not meeting defence or legal cost requirements, which must be taken ...

Super funds on notice over disclosure deadline

DARREN SNYDER | MONDAY, 28 AUG 2017

... their obligations," the regulator said. Following the release of Report 398 in November 2015, ASIC issued updated Regulatory Guide 97 - Disclosing fees and costs in PDSs and periodic statements to bring greater consistency and transparency to fees reporting. ...

Uniformity required to combat cyber threats

JAMIE WILLIAMSON | THURSDAY, 17 AUG 2017

Greater collaboration between regulators across Asia-Pacific is needed to combat an increasing threat of cyber-attacks to financial services organisations. According to Deloitte, despite the frequency of global cyber-attacks increasing and becoming ...

FOFA breach sees former adviser banned

JAMIE WILLIAMSON | THURSDAY, 20 JUL 2017

... Price said. ASIC said the banning should serve as a reminder to financial advisers of their obligations under Regulatory Guide 175 Licensing: Financial product advisers - conduct and disclosure, including guidance on complying with the best interest ...

RG 133 review reveals poor compliance

EMMA RAPAPORT | THURSDAY, 22 JUN 2017

... requirements are falling short of ASIC expectations, showing generally poor levels of understanding and compliance with Regulatory Guide 133. These findings form part of an ASIC report outlining an extensive review of 21 responsible entities and custodians. ...

ASIC consults on new statement of advice

EMMA RAPAPORT | WEDNESDAY, 31 MAY 2017

... consultation paper seeks feedback on the new example Statement of Advice (SOA) and related updates to the guidance in Regulatory Guide 90 - Example Statement of Advice: Scaled advice for a new client (RG 90). The design of the new example SOA has been ...

IRESS partnership aids RG 97 compliance

KARREN VERGARA | WEDNESDAY, 31 MAY 2017

... alignment will make sourcing the trade data easier and quicker, she added, particularly when it comes to ASIC's Regulatory Guide 97, which requires superannuation and managed investment product issuers to disclose fees and costs clearly. "As a result ...

ASIC releases RE compliance obligations

KARREN VERGARA | TUESDAY, 28 MAR 2017

... maintain adequate risk management systems to avoid any adverse consequences for investors. ASIC's recently released regulatory guide - RG 259 Risk Management systems of responsible entities - provides responsible entities additional guidance in complying ...

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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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