Results for "Design and distribution obligations"

Design and Distribution Obligations (DDO) regime is one of the biggest things for the financial services industry in 2020, affecting almost every part of the industry. ...

ASIC has released Report 762 (the Report) following its recent review into how investment product issuers are complying with the Design and Distribution Obligations (DDO) regime. The report summarises ASIC's findings and highlights areas for improvement. ...

An overview of how the final RG deals with a key questions raised by issuers and distributors for Design and Distribution Obligations. We look at issues relevant to all industries, and then some particular questions for banking, superannuation and investments, and insurance. ...

Covered in this webinar: notable recent enforcement decisions in the UK and likely hot topics for regulatory enforcement going forward; key areas of focus for supervisors at regulators; and the most significant areas of regulatory reform we can expect to see over the coming year. ...

Covered in this webinar: APRA enforcement update – In July 2024, APRA announced it had agreed to accept an enforceable undertaking from OnePath Custodians, and that OnePath had paid $10.7 million under infringement notices issued by APRA. This webinar takes a look at the case in detail, including some of the key takeaways for superannuation trustees and other APRA-regulated entities. DDO enforcement update – ASIC has successfully prosecuted the first two design and distribution obligations cases. This webinar takes a look at some key findings from those cases, including the court's view on what constitutes 'reasonable steps' for issuers and distributors of financial products and an issuer's obligation to monitor and review data. ...

APRA is consulting on a new draft Prudential Standard CPS 510 Governance, which is slated to replace existing prudential standards for banks, insurers and superannuation trustees and impose heigh ...

Following a series of consultations, the Government has announced final policy positions to heighten consumer protections in response to the Shield and First Guardian collapses. The changes will affec ...

77% of organisations have reported insider-driven data loss within the last 18-months. More than half of those experienced significant financial impact of greater than $1 million. ...

Allens advised on the establishment of the new service to be provided by a separate entity in the AustralianSuper group, including licensing, regulatory and governance frameworks, negotiation of ...