Results for "Design and distribution obligations"
1-10 of 650 results for 'Design and distribution obligations'
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. ...
Design and distribution obligations for investment products – ASIC's latest expectations
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. ...
ASIC publishes final version of Regulatory Guide on Design and Distribution Obligations
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. ...
Key trends in UK and Australian financial services regulation: in conversation with Linklaters
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. ...
Financial services regulation update (September edition)
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. ...
Automotive sector outlook: Legal trends driving the sector in FY27
The automotive sector continues to be a focal point for litigation risk and legislative reform. In this Insight, we explore some of the key issues and developments facing the sector. ...
Financial services regulatory update – September
September brought tighter rules for algorithmic and AI-enabled trading, licence conditions on ING Bank Australia over liquidity miscalculations, and another finding from the RBA that ASX's risk contro ...
Financial services regulation update (December edition)
Covered in this webinar: Consultation on the first tranche the Albanese Government's 'Delivering Better Financial Outcomes' package of reforms, addressing several recommendations from the Quality of Advice Review; and ASIC's civil penalty proceedings against Telstra Super Pty Ltd, being the first case to test the application of the internal dispute resolution obligations in s912A of the Corporations Act. ...
Mandatory automated decision-making disclosure requirements are coming – key takeaways from the OAIC guidance
New privacy obligations requiring disclosure of certain automated decision-making (ADM) processes commence on 10 December 2026. The Office of the Australian Information Commissioner's (OAIC) final gui ...
APRA to overhaul governance standards
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 ...