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Showing 71 - 80 of 142 results for "Regulatory Guide"

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 ...

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. ...

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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