Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 1 - 7 of 7 results for "ASIC Class Order"

Barclays fined following ASIC investigation

JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017
... As a result, the Barclays entities automatically excluded themselves from operating under the benefit of the ASIC class order licensing exemptions, though the regulator has granted the entities conditional individual relief so as to maintain the provision ...

IFS caught investing in unregistered schemes

LAURA MILLAN  |  WEDNESDAY, 28 MAY 2014
... their investment options after a review of their industry fund portfolio service found they were in breach of ASIC class order 'Investor directed portfolio-like services provided through a registered managed investment scheme' (02/296). The business ...

Trading platform bids to raise industry transparency standards

MARK SMITH  |  TUESDAY, 20 AUG 2013
... matched, providing total transparency of client money (TOCM). The move is a more stringent adaptation of the ASIC Class Order (CO 02/294) from 2008 for businesses offering Investor Directed Portfolio Services (IDPS). Saxo's Australian chief executive ...

ASIC provides guidance on superannuation calculators

... from some of the conduct and disclosure provisions in Part 7.7 of the Corporations Act 2001 (the Act). Under the ASIC Class Order (CO 05/611) 'Relief for providers of superannuation calculators' providers who meet certain minimum conditions, do not require ...

ASIC releases eLicensing V.4 and AFS Licensing Kit

The Australian Securities and Investments Commission (ASIC) today released the fourth version of its eLicensing system - together with an updated version of the Australian financial services (AFS) Licensing Kit - for entities wishing to apply for an ...

ASIC releases updated industry guides for AFS licence applicants

The Australian Securities and Investments Commission (ASIC) today released updated versions of its industry-specific guides, which are designed to help industry participants in the process of applying for an Australian financial services (AFS) licence. ...

Administered companies still obliged to report: ASIC

... and annual general meeting obligations of externally administered companies. PS 174 comes hand-in-hand with an ASIC class order that exempts companies in liquidation from the financial obligations in part 2M.3 of the Corporations Act. "ASIC's view is ...
PAGE:
1