Search Results | Showing 1 - 10 of 53 results for %22DDO%22 |
| | ... financial services, breaching product disclosure requirements, and failing to comply with design and distribution obligations (DDO) in relation to Finder Earn. ASIC argued that Finder Earn was in essence a debenture and should fall under its regulatory ... |
| | | ... highlighted that wholesale investors are excluded from retail protections, including Design and Distribution Obligations (DDO), bans of conflicted remuneration, dispute resolution mechanisms, and access to a compensation scheme of last resort under certain ... |
| | | ... more captivating to both investors and issuers," he said. Further, recently introduced Design & Distribution Obligations (DDO) have impacted the willingness of issuers and brokers to offer a broad range of alternative investment strategies and asset ... |
| | | ... obligations for margin products offered to Australian customers. Since the introduction of the design and distribution obligations (DDO) in October 2021, ASIC claims over 1160 Australian customers have suffered financial losses totalling around $12.95 ... |
| | | ... and other high-risk products that flout their target market determinations (TMD), and design and distribution obligations (DDO). The newly published Report 770 Design and distribution obligations: Retail OTC derivatives found that most issuers produce ... |
| | | ASIC has proposed a five-year extension to the design and distribution obligations (DDO), the instrument for which was originally set for a two-year period. DDO was introduced following a recommendation from the 2019 Financial System Inquiry to compel ... |
| | | ... difference (CFD) market to send a message to the industry about the importance of the design and distribution obligations (DDO). During her introductory speech at the General Counsel Summit, ASIC deputy chair Sarah Court said if the regulatory body achieves ... |
| | | ... Calastone and Clearstream into the Australian market, and regulatory disparities in the Design and Distribution Obligations (DDO) between unlisted funds and ETPs, have all contributed to the reassessment of mFund's viability. Regardless of these challenges ... |
| | | ... regulatory action against Spaceship and Mitrade Global for inadequate compliance with the Design and Distributions Obligation (DDO) regime and deficiencies in their TMDs. The updated FSC template is designed to address key compliance issues related to ... |
| | | Mitrade Global has been hit with the first stop order to be issued under the design and distribution obligations' (DDO) failure to take reasonable steps provision, with the order relating to its distribution of contracts for difference (CFD). The stop ... |
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