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|Showing 1 - 10 of 100+ results for "Regulatory Guide"|
|... objectives and needs and that the recommendation must be reasonable in the client's relevant circumstances." ASIC's Regulatory Guide 175 emphasises the importance of undertaking an investigation into clients' relevant circumstances, along with analysing ...|
|... requirements," ASIC reported. Funds have work to do on applying an expanded definition of 'complaint', under the new regulatory guide, too. ASIC also said more work is needed to implement the new maximum timeframes for IDR responses. ASIC's survey found ...|
|... 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 ...|
|... including for the reporting of IDR data. Last July, the new IDR standards and requirements were published in Regulatory Guide 271 Internal dispute resolution (RG 271) and come into effect on October 5. Under it, efficient complaints handling became an ...|
|... for shorter, simpler, and more user-friendly regulatory guidance from ASIC. As a result, INFO 256 will replace Regulatory Guide 245 Fee disclosure statements, which will be withdrawn," ASIC said. Senator Jane Hume announced last week that advisers will ...|
|... would not be covered under the legislation. In December 2020, ASIC released a consultation paper on updating its regulatory guide in relation to consumer remediation. At the time, the regulator was monitoring over 100 remediations that could see $3.55 ...|
|... Kingdom and Europe through the MiFID II legislation," Blomfield said. The solution comes after ASIC released its regulatory guide on DDO in December following consultation and engagement with the industry.|
|The regulatory guide on product design and distribution obligations for the financial services industry has been released. ASIC's RG 274 Product design and distribution obligations aims to help consumers obtain appropriate financial products by ...|
|ASIC has released a consultation paper to update the regulatory guide on client review and remediation conducted by financial advice licensees. Regulatory Guide 256: Client review and remediation conducted by advice licensees will be clarified through ...|
|... ensure financial advisers consider sustainability preferences of consumers, for ASIC to consider strengthening its Regulatory Guide to facilitate meaningful disclosures on ESG and ethical considerations in investment products, and for super funds to ...|
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MFS Investment Management is searching for a new head of retail sales for its local business, as the incumbent heads to London for a new role.
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A former Regal Funds Management portfolio manager has been banned for five years after he manipulated the share price of Clearview Wealth.
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With more research identifying the pressure put on employees by the pandemic and lockdowns, wealth technology firm Class is offering employees extra days off.
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Prudential regulator APRA plans to go ahead with mandating independent certifications within group insurance as recommended by the financial services Royal Commission.
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