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Showing 1 - 9 of 9 results for "ASIC Regulatory Guide"

YFYS test results not a fair representation: Frontier

ELIZABETH MCARTHUR  |  WEDNESDAY, 1 SEP 2021
... line', while others have missed out by very thin margins. In a note to clients, Frontier pointed out that in ASIC Regulatory Guide 53 the regulator states: "Good past performance seems to be, at best, a weak and unreliable predictor of future good performance ...

ASIC appoints to disciplinary panel

KANIKA SOOD  |  FRIDAY, 30 NOV 2018
Heads from stockbrokers Macquarie Securities and Morgans are among new appointees to a peer review panel at ASIC. The corporate regulator has added four members to its markets disciplinary panel, which peer reviews the decisions about whether infringement ...

AMP defaulted members as smokers: Royal Commission

KARREN VERGARA  |  MONDAY, 17 SEP 2018
... counsel assisting Mark Costello said this blended rate is a higher premium. Costello pointed out that under ASIC regulatory guide 529, trustees cannot presume that members smoke in determining their insurance premiums. "There are low levels of smoking ...

CommInsure misled FOS: Royal Commission

KARREN VERGARA  |  THURSDAY, 13 SEP 2018
... transparent in its dealing with FOS and as a result, did not comply with FOS' terms of reference or ASIC regulatory guide 139, which explains what's expected of parties involved in a dispute resolution process. Troup explained CMLA was "misguided" ...

Custodians turn attention to CIVs and MITs

DARREN SNYDER  |  THURSDAY, 9 FEB 2017
... the implementation of the new Accounting Standard AASB 1056 for superannuation entities, and rollout of ASIC Regulatory Guide 133 for managed investments and custodial services. The year also marked a movement to T+2 days settlement to improve efficiency ...

Fears of increased compliance costs misguided

JAMIE WILLIAMSON  |  THURSDAY, 8 SEP 2016
... be at the core of robo-advice platforms utilised by enterprise organisations in the industry, saying that ASIC Regulatory Guide 255 acknowledges the difference between consumer-focused robo-advice and enterprise digital platforms. "Digital advice is ...

Read the rules, says ASIC

MARK SMITH  |  TUESDAY, 15 OCT 2013
ASIC deputy chairman Peter Kell reassured advisers at the AFA conference that the FoFA best interest duty is not as strict as people think. He reminded them to read the regulatory guidance before jumping to conclusions. "We're just over three months ...

Lonsec highlights hedge fund classification concerns

MARK SMITH  |  THURSDAY, 5 SEP 2013
... proposed new rules affecting hedge funds, which could see investors increase the risk in their portfolios. ASIC Regulatory Guide 240, which was released in September 2012, aimed to raise disclosure requirements for hedge funds. The requirements had been ...

ASIC extends shorter PDS regime relief

STAFF JOURNALIST  |  FRIDAY, 7 DEC 2012
... period for hedge funds will align with the commencement of new disclosure obligations for hedge funds under ASIC Regulatory Guide 240 Hedge funds: Improving disclosure (RG 240).
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