951-960 of 1169 results

Conflicts of interest and the duty to manage them
Insight 09 Aug 2016

The Corporations Act 2001 Cth was amended in 2004 to include an additional obligation for Australian financial services licensees to have in place adequate arrangements for the management of conflicts of interest that may arise in relation to the activities undertaken by the licensees in the ...

A reprieve for ASIC and APRA ... but not for the FCA
Insight 02 Jun 2016

ASIC and APRA often cop flak from various quarters including from us and so today for something different we train our sights on the Financial Conduct Authority in the UK What the FCA has said about providing personal advice to retail clients is interesting debatable and likely to induce a strong ...

Local issuers, international format
Insight 31 Aug 2016

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 ...

ASIC extends transition period for fees and costs disclosures, and delays consultation paper to January 2019
Insight 14 Dec 2018

ASIC has extended the transition periods for certain fees and costs disclosure obligations applicable to superannuation funds and managed investment schemes by a further year pending the release of its consultation paper on the regime ...

Productivity Commission releases draft report on competition in the financial system
Insight 20 Feb 2018

The Productivity Commissions draft report on competition in the financial system released earlier in February makes 25 draft recommendations a key focus of which are reforms to the regulatory system ...

Competition news
Insight 15 Aug 2017

In Touch looks at what's been happening in Competition this month and what it means for your business ...

Crowd sourced equity funding to gain traction with new legislation
Insight 23 Mar 2017

After a difficult journey both Houses have passed the Corporations Amendment Crowd-sourced Funding Bill 2016 - introducing a new funding avenue for Australian startups and an opportunity for retail investors to access equity in emerging companies ...

Competition news
Insight 08 Mar 2017

In Touch looks at what's been happening in Competition this month and what it means for your business ...

Lessons from Singapore's new collective investment vehicle
Insight 13 Apr 2017

This Insight examines the lessons from Singapore's new collective investment vehicle ...

ASIC's report on financial advice
Insight 07 Apr 2017

ASIC has recently released a report about its work with the big four banks and AMP on adviser misconduct The report is essentially an update on the progress of ASICs Wealth Management Project and mostly contains information we already know The most interesting part deals with the results of ASICs ...

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