Search Results | Showing 1 - 10 of 102 results for "Design and distribution obligations" |
| | | Australian Unity Funds Management (AUFM) admitted it breached design and distribution obligations (DDO) regarding its Select Income Fund and has been slapped with a $7.125 million fine by the Federal Court. Hundreds of retail investors were led to believe ... |
| | | | ... distribution practices, ASIC found widespread weaknesses in how CFD issuers complied with their design and distribution obligations (DDO), ASIC's CFD product intervention order (PIO) and regulatory reporting requirements. ASIC found more than half ... |
| | | | ... September 22. Further, details of J100 were displayed in Global X's product disclosure statement design and distribution obligations, published on November 4. The document highlighted that Global X has applied for units in the ETF to be quoted on the ... |
| | | | ... registered managed investment schemes, which includes AFS licensing requirements and modified design and distribution obligations. It lays out specific obligations under market operator rules that govern the admission and quotation of ETPs, such as portfolio ... |
| | | | ... loans involves an above average amount of risk and volatility or loss of principal. "Under the design and distribution obligations (DDO), financial product issuers and distributors must ensure the product's TMD is clear and appropriately defines the ... |
| | | | ... law reform ideas that have been raised by the simplification group include reforms to the design and distribution obligations, product disclosure requirements, and simplification of the liability regime in the Corporations Act." Longo said ASIC would ... |
| | | | ... financial services, breached product disclosure requirements, and failed to comply with the design and distribution obligations for Finder Earn. However, the court dismissed the claims by ruling that the product was not a "debenture" and therefore has ... |
| | | | ... opportunities, while meeting related regulatory obligations." ASIC deputy chair Sarah Court said the Design and Distribution Obligations (DDO) are there to help make sure consumers get appropriate financial products aligned with their objectives, financial ... |
| | | | ... entities (REs) of managed funds are falling short of their obligations to adequately address design and distribution obligations (DDO), the reportable situations regime and internal dispute resolution processes and reporting (IDR), an ASIC review found ... |
| | | | ... reforms under ASIC's remit, including simplifying the breach reporting regime and a rethink of design and distribution obligations. Some fall under APRA's remit, including a long-awaited product modernisation framework for legacy funds management and ... |
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