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Showing 1 - 10 of 124 results for "Regulatory Guide"

ASIC flags regulatory guide updates for 2025

ELIZA BAVIN | TUESDAY, 26 NOV 2024

... from case law about the provisions and other relevant issues. ASIC said it intends to update the guides for: Regulatory Guide 53 The use of past performance in promotional material Regulatory Guide 168 Disclosure: Product Disclosure Statements (and other ...

Advisers must prioritise Conflicts Priority Rule: AFCA

KARREN VERGARA | MONDAY, 28 OCT 2024

... prioritising the client's best interests," she told the annual AFCA Forum last week. AFCA typically uses Regulatory Guide 175 Licensing: Financial product advisers-Conduct and disclosure to assess cases. Merely disclosing the conflict is insufficient. ...

Retirement calculators 'can't be counted on': SCA

ANDREW MCKEAN | MONDAY, 30 SEP 2024

... default retirement income that was too low or too high for the predicted balance at retirement. According to ASIC's Regulatory Guide 276, a superannuation balance should be drawn down by age 92. However, calculators that project default income in a draw ...

APRA calls out high-cost super platforms

ELIZA BAVIN | TUESDAY, 24 SEP 2024

... product governance in place to ensure they meet their product design and distribution obligations under ASIC Regulatory Guide 274. This includes determining an appropriate target market and ensuring the distribution of the product is directed towards ...

IFS launches two courses with Kaplan

KARREN VERGARA | FRIDAY, 5 JUL 2024

... hired employees to the superannuation industry. The second, General Advice Specialisation - Superannuation, meets Regulatory Guide 146 general advice requirements and teaches students how to engage clients effectively and confidently to deliver it. The ...

ASIC calls out sloppy adviser data

KARREN VERGARA | MONDAY, 1 JUL 2024

... the determination of the Financial Adviser Exam, Australian Qualifications Framework 1-5 qualifications, and Regulatory Guide 146 training/qualifications. ASIC is also aware of instances where AFSLs are not ensuring the contact details of their financial ...

Will ASIC use AI for advice compliance monitoring?

ANDREW MCKEAN | MONDAY, 17 JUN 2024

The rapid expansion of artificial intelligence (AI) applications in the financial advice industry has led to a prediction that ASIC could soon incorporate AI into its compliance and audit checks of advisers. Financial technology firm Padua envisions ...

Auditors lambast mandatory climate reporting requirements

ELIZA BAVIN | TUESDAY, 23 APR 2024

... ASIC will develop and issue regulatory guidance on climate-related financial disclosures that will include a new regulatory guide for the climate reporting regime which will address its approach to relief from obligation as well as resources on its website ...

ASIC consults on misconduct reporting rules

ANDREW MCKEAN | FRIDAY, 12 APR 2024

... and controllers when reporting and lodging statutory reports about alleged misconduct. The proposed updates to Regulatory Guide 16 External administrators and controllers: Reporting of possible offences and misconduct (RG16) seeks to clarify ASIC's expectations ...

Experts issue warning over AI washing

ANDREW MCKEAN | MONDAY, 11 MAR 2024

... that if you're making a representation about the way in which your company uses AI, it must be true," she says. Regulatory Guide 234 also mandates that businesses promoting financial products and services must avoid any misleading or deceptive tactics. ...

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Ausfood Super appoints chief executive

ELIZABETH FRY

Australian Food Super, the superannuation fund set up for employees in the meat industry, has named Michael Sykes as its new CEO.

mFunds sparked ASX outage, $1m credit issued

KARREN VERGARA

The ASX said the outage from last month largely stemmed from the now-defunct mFunds and will subsequently credit participants $1 million to make amends.

Aussie shares cost 8% more on rebalance days: Dimensional

KARREN VERGARA

Investing in the S&P/ASX 300 on a day it rebalances puts an 8% premium on share prices, a phenomenon that follows major global indices, new research from Dimensional Fund Advisors finds.

Rest appoints first-ever chief of staff

ANDREW MCKEAN

Rest has appointed a senior wealth management leader and superannuation expert from Insignia Financial to take the reins as chief of staff.

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Jenny Taing

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'Chameleon ETFs': Still groundbreaking and here to stay?

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Kellie Wood

HEAD OF FIXED INCOME
SCHRODER INVESTMENT MANAGEMENT AUSTRALIA LIMITED

Schroders Australia's Kellie Wood talks about winning a lot, so much so that it's become a well-intentioned joke with her co-workers - but it's this ambitious attitude that spurs her on every day. Eliza Bavin writes.

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