411-420 of 520 results
Draft code of ethics for financial advisers - in need of much more work
You would be hard pressed to find a bigger load of nonsense than the draft code of ethics for financial advisers issued recently by the Financial Adviser Standards and Ethics Authority ...
Federal Government's bold vision for data availability and use
The Federal Governments response to the Productivity Commissions report on data availability and use released this week outlines a bold vision but has a surprising lack of detail suggesting implementation is likely to be some way off If legislation is introduced the new regime will result in a ...
Breach reporting by AFS licensees
In the hurly burly of the Royal Commissions recent hearings concerning financial advice you may have missed some very important information about breach reporting by AFS licensees contained in the witness statement prepared by Mr Peter Kell Deputy Chair of ASIC ...
Competition news
In Touch looks at what's been happening in Competition this month and what it means for your business ...
ASIC's allocations project - guidance from abroad
ASIC is examining the allocations process in capital raising transactions We report on ASICs allocations project and the influences that the regulators in the UK and in Europe may have on the project ...
Corporate law developments
Welcome to our monthly snapshot of regulatory updates and other developments in corporate law We know you are busy so our focus is on capturing key issues ...
Right here, right now; the CDR regime is live
The Consumer Data Right Act has been passed by Federal Parliament bringing with it significant changes for legal, risk and compliance teams operating in the finance, banking, energy and telco sectors ...
Brexit and financial services regulation
The idea that the UK could on leaving the EU simply walk away from a significant amount of EU financial services regulation seems fantastical It is likely that the UK will instead have to adopt on exit vast amounts of EU financial services regulation However the UK will have no say on the future ...
Local issuers, international format
At the same time as more international issuers appear to be looking at international programme formats for their Australian dollar issuance so Australian borrowers are contemplating the use of EMTN programmes even for their domestic currency issuance ...
Designing effective remediation programs
ASIC issued Regulatory Guide 256 Client review and remediation conducted by advice licensees late last week In short RG 256 says an Australian financial services licensees duty to provide financial services efficiently honestly and fairly means they have to take responsibility for the consequences ...